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 Whalen 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 |
|---|---|---|---|---|---|
| Di Wu | Whalen Financial independent RIA | Wealthcare Capital Management LLC independent RIA | RIA to RIA | Mar 27, 2024 | Jun 24, 2024 (89 d) |
| Ledawn Gries | Whalen Financial independent RIA | Mutual Of Omaha Investor Services, Inc. independent RIA | RIA to RIA | Oct 17, 2023 | Dec 19, 2023 (63 d) |
| Carl David Aschenbrenner | Whalen Financial independent RIA | Fisher Investments independent RIA | RIA to RIA | Sep 22, 2023 | Mar 13, 2024 (173 d) |
| Kim Thanh Dang | Whalen Financial independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2023 | May 1, 2023 |
Page 1 of 1
4 moves match.