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 Global Brokerage Services, Inc.
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 |
|---|---|---|---|---|---|
| Wesley Edward Watkis | Global Brokerage Services, Inc. independent RIA | The W & W Group LLC state registered | RIA to a state-registered adviser | Mar 27, 2017 | Jun 5, 2017 (70 d) |
| Kathryn Pocock Gustafson | Global Brokerage Services, Inc. independent RIA | The Strategic Financial Alliance other | Other | Apr 20, 2012 | Apr 20, 2012 |
| Lori Pocock Allison | Global Brokerage Services, Inc. independent RIA | The Strategic Financial Alliance other | Other | Apr 20, 2012 | Apr 20, 2012 |
| Michael Reed Stevens | Global Brokerage Services, Inc. independent RIA | The Strategic Financial Alliance other | Other | Apr 20, 2012 | Apr 20, 2012 |
| Daniel William Leatherman | Global Brokerage Services, Inc. independent RIA | Avantax Advisory Services other | Other | Oct 10, 2011 | Aug 15, 2012 (310 d) |
Page 1 of 1
5 moves match.