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 Wellment Financial
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Catherine Louise Watson | Wellment Financial independent RIA | Ellenbecker Investment Group independent RIA | RIA to RIA | Oct 2, 2023 | Jan 17, 2024 (107 d) |
| Alexis Paul Rivera | Wellment Financial independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 12, 2019 | Aug 13, 2020 (245 d) |
Page 1 of 1
2 moves match.