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 Great Lakes Wealth, LLC
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 |
|---|---|---|---|---|---|
| Thomas Allen Griffore | Great Lakes Wealth, LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Jan 23, 2026 | Jan 26, 2026 |
| Bruce Blase Palen | Great Lakes Wealth, LLC independent RIA | Sovereign Financial Group, Inc. independent RIA | RIA to RIA | Jan 2, 2024 | Jan 2, 2024 |
| Gongju Baek | Great Lakes Wealth, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jun 8, 2023 | Jul 25, 2023 (47 d) |
| Joseph Charles Wilkinson | Great Lakes Wealth, LLC independent RIA | Brookstone Capital Management LLC independent RIA | RIA to RIA | Sep 15, 2021 | Sep 2, 2021 |
| Bartholomew Timothy-Dylan Mackler | Great Lakes Wealth, LLC other | Td Ameritrade Investment Management, LLC independent RIA | Other | Feb 28, 2019 | Mar 12, 2019 |
| Thomas Delbert Whited | Great Lakes Wealth, LLC other | Mainstay Capital Management, LLC independent RIA | Other | Jan 11, 2019 | Mar 8, 2019 (56 d) |
| Loyd Benjamin Wellman | Great Lakes Wealth, LLC other | Fsc Securities Corporation BD affiliated | Other | Mar 29, 2018 | Apr 4, 2018 |
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7 moves match.