DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Departures from Financial West Group

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Michael K UyemuraFinancial West Group otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 4, 2012Nov 19, 2012 (46 d)
Christina Lynn BushFinancial West Group otherSecurities America Advisors, Inc. otherOtherSep 11, 2012Sep 10, 2012
John Carter ForbesFinancial West Group otherSecurities America Advisors, Inc. otherOtherSep 11, 2012Sep 11, 2012
Martin NielsenFinancial West Group otherLPL Financial LLC otherOtherSep 10, 2012Sep 7, 2012
Tod Leighton LenhoffFinancial West Group otherCapital Synergy Partners independent RIAOtherAug 8, 2012Aug 9, 2012
Lorraine A DimartinoFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2011Jan 10, 2026 (5124 d)
Bradley James KingsburyFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2011Jan 31, 2012 (31 d)
Jeffery Lynn IngrahamFinancial West Group otherOmaha Advisors, Inc. unclassifiedOtherDec 31, 2011Jun 18, 2013 (535 d)
Ian Bernard McleodFinancial West Group otherThe Social Equity Group, Inc. otherOtherDec 31, 2011Jan 13, 2005
William George RappFinancial West Group otherCapital Synergy Partners independent RIAOtherNov 7, 2011Jan 1, 2025 (4804 d)
Stephen Andrew RipicFinancial West Group otherCapital Synergy Partners independent RIAOtherNov 4, 2011May 23, 2011
Thomas KruegerFinancial West Group otherHub International Investment Services Inc. unclassifiedOtherOct 24, 2011Apr 19, 2012 (178 d)
Gregory Allen BerstlerFinancial West Group otherRaymond James Financial Services Advisors, Inc otherOtherFeb 9, 2011Feb 18, 2011
Roy William NessFinancial West Group otherCambridge Investment Research Advisors, Inc. otherOtherJan 3, 2011Jan 3, 2011
Steven Robert SeibelFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2010Oct 15, 2012 (654 d)
Larry Dale PeregrineFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2010Jan 3, 2012 (368 d)
Barton James BrewerFinancial West Group otherAdes Investment Counsel, Inc. state registeredOtherDec 31, 2010Jan 3, 2011
Paul Cameron MacdonaldFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2010Jun 2, 2011 (153 d)
Shane Patrick BrosnanFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2010Nov 18, 2013 (1053 d)
Peter Eugene GirolamoFinancial West Group otherRetirement Wealth Center Inc unclassifiedOtherNov 30, 2010Dec 3, 2010
Lisa Marie KitchinFinancial West Group otherJ.P. Morgan Private Wealth Advisors LLC otherOtherNov 15, 2010Jan 12, 2011 (58 d)
Nicholas Joseph SheaFinancial West Group otherCharles Schwab & Co., Inc. national BDOtherNov 11, 2010Dec 9, 2010
Kumbirai Vincent MtungaFinancial West Group otherKovack Advisors, Inc. otherOtherSep 7, 2010Jan 11, 2011 (126 d)
Amy Elizabeth Fracaro-ChoateFinancial West Group otherCambridge Investment Research Advisors, Inc. otherOtherJun 1, 2010Jun 2, 2010
Ronald Jay BlauFinancial West Group otherEsi Financial Advisors otherOtherMar 15, 2010Mar 25, 2010
Ronald Edward SniderFinancial West Group otherCapital Synergy Partners independent RIAOtherDec 31, 2009Feb 22, 2011 (418 d)
Joseph James PuetzFinancial West Group otherWells Fargo Advisors wirehouseOtherOct 16, 2009Oct 11, 2012 (1091 d)
Gal Gali HorevFinancial West Group otherPrivate Asset Advisors, Inc. unclassifiedOtherSep 23, 2009Sep 25, 2009
Judith Angela ZeiglerFinancial West Group otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherAug 4, 2009Aug 5, 2009
Kiak X TaeFinancial West Group otherChase Investment Services Corp. otherOtherAug 4, 2009Aug 17, 2009
Richard Alan NorkinFinancial West Group otherWestern International Securities otherOtherJul 27, 2009Jul 27, 2009
Gregory Patrick KlinglerFinancial West Group otherInvestment Advisors Corp otherOtherJun 26, 2009Jul 16, 2009
Michael Keith McdonoughFinancial West Group otherPrincipal Securities, Inc. otherOtherApr 2, 2009Oct 10, 2017 (3113 d)
Evan Finnell ColeFinancial West Group otherWoodbury Financial Services, Inc. otherOtherMar 23, 2009Mar 24, 2009
Brian Richard RaleighFinancial West Group otherRaleigh Capital Management Inc. independent RIAOtherFeb 12, 2009Jun 15, 2012 (1219 d)
Joseph Kenneth BrooksFinancial West Group otherNbs Financial Services, Inc. otherOtherDec 23, 2008Dec 16, 2015 (2549 d)
Robert Vincent SessaFinancial West Group otherWestern International Securities otherOtherDec 16, 2008Dec 15, 2008
Daniel Ian StieffFinancial West Group otherLPL Financial LLC otherOtherDec 12, 2008Dec 12, 2008
Julie Annette BroadyFinancial West Group otherIndependent Financial Group, LLC otherOtherNov 13, 2008Nov 21, 2008
Peter Joseph McneilFinancial West Group otherIndependent Financial Group, LLC otherOtherNov 13, 2008Nov 13, 2008
Lewis Howard PerkinsFinancial West Group otherIndependent Financial Group, LLC otherOtherNov 13, 2008Nov 13, 2008
Allan William MoskowitzFinancial West Group otherProtected Investors Of America otherOtherAug 27, 2008Aug 25, 2008
Paul Glynn LindsayFinancial West Group otherCambridge Investment Research Advisors, Inc. otherOtherJul 30, 2008Jul 29, 2008
Philip Todd KirshmanFinancial West Group otherUBS Financial Services Inc. wirehouseOtherJul 15, 2008Jul 21, 2008
Douglas Cy WaisnerFinancial West Group otherWestern International Securities otherOtherJun 26, 2008May 27, 2008
Gaylord Wesley RohloffFinancial West Group otherWestern International Securities otherOtherJun 26, 2008May 27, 2008
Krikor DemirjianFinancial West Group otherWestern International Securities otherOtherJun 23, 2008May 28, 2008
Robert Bennett JohnstonFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 28, 2008
Laurie LujanFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 28, 2008
Marcus Alan SilverFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 28, 2008
Robert Keith ChaconFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 28, 2008
Arthur Robert FuFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 27, 2008
Deborah Ruth FrankelFinancial West Group otherWestern International Securities otherOtherJun 6, 2008May 28, 2008
Bruce BassinFinancial West Group otherResource Horizons Investment Advisory, Inc. otherOtherMar 31, 2008Apr 1, 2008
Timothy James RichFinancial West Group otherPortfolio Resources Advisor Group, Inc. otherOtherMar 14, 2008Mar 18, 2008
Ellen Kathia ShearinFinancial West Group otherAfa Advisor Services LLC unclassifiedOtherFeb 6, 2008Feb 1, 2008
James Allen CoxFinancial West Group otherEquitable Advisors, LLC national BDOtherFeb 1, 2008Jan 31, 2008
Joyce Kristina MooreFinancial West Group otherPortfolio Resources Advisor Group, Inc. otherOtherDec 31, 2007Jan 3, 2008
Krista Anne StrohofferFinancial West Group otherPortfolio Resources Advisor Group, Inc. otherOtherDec 31, 2007Jan 3, 2008
John Christopher CogswellFinancial West Group otherPortfolio Resources Advisor Group, Inc. otherOtherDec 31, 2007Jan 16, 2008
Page 2 of 3PreviousNext
155 moves match.