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 Western International Securities
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 |
|---|---|---|---|---|---|
| Doron Kochavi | Western International Securities BD affiliated | Carnegie Wealth Management LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 4, 2024 | Apr 11, 2024 (98 d) |
| Shannon Marie Powers | Western International Securities BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2023 | Dec 5, 2023 |
| May Hongying Miao | Western International Securities BD affiliated | Trend Trade Pro, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2023 | Jan 1, 2026 (791 d) |
| Jarrod Benjamin Silvers | Western International Securities BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 7, 2023 | Aug 17, 2023 |
| Stuart Carroll Loren | Western International Securities BD affiliated | Fort Sheridan Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 18, 2023 | Nov 14, 2018 |
| Alissa S. Hirsh | Western International Securities BD affiliated | Fort Sheridan Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 18, 2023 | Nov 19, 2018 |
| Noriko Hamaoka Ikeda | Western International Securities BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2023 | Jun 13, 2023 |
| Michael Lendell Foland | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2023 | Jun 13, 2023 |
| James Allen Mayes | Western International Securities BD affiliated | Alexander Capital Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2023 | Jan 16, 2025 (595 d) |
| Jacob Williams | Western International Securities BD affiliated | Dynamic independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2023 | Apr 28, 2023 |
| Daniel Novak | Western International Securities BD affiliated | Dynamic independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2023 | Apr 28, 2023 |
| Ron M. Amir | Western International Securities BD affiliated | Clarity Capital Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 31, 2023 | Jun 2, 2023 |
| Ilan Meir Fersht | Western International Securities BD affiliated | Kelsey Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2023 | May 25, 2023 |
| Donald Michael Bizub | Western International Securities BD affiliated | Financial West Group other | Other | May 22, 2023 | Feb 2, 2005 |
| Amit Kumar Bose | Western International Securities BD affiliated | Wealthnest Capital Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2023 | Apr 11, 2023 |
| Ryan Ramos | Western International Securities BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2023 | Mar 3, 2023 |
| Kenneth Paul Hewitt | Western International Securities BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2023 | Feb 14, 2023 |
| Thomas Michael O'Connell | Western International Securities BD affiliated | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2023 | Jan 19, 2023 |
| Gerard Paul Gloisten | Western International Securities BD affiliated | Core Wealth Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2022 | Oct 13, 2022 |
| Adam Senator Wiatrak | Western International Securities BD affiliated | Core Wealth Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2022 | Oct 11, 2022 |
| Duncan John Meaney | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2022 | Jun 9, 2025 (937 d) |
| Seiichi Shinomiya | Western International Securities BD affiliated | Dorado Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 20, 2022 | Oct 21, 2022 |
| Andrew Newell | Western International Securities BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Sep 22, 2022 | Sep 30, 2022 |
| Scott Richard Mrozek | Western International Securities BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 8, 2022 | Sep 9, 2022 |
| Stephen Douglas Vallender | Western International Securities BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 8, 2022 | Sep 9, 2022 |
| Debra Marcy Reda-Cappos | Western International Securities BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2022 | Sep 2, 2022 |
| Lee Alan Tarbet | Western International Securities BD affiliated | Fsc Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2022 | Aug 19, 2022 |
| Michael John Hall | Western International Securities BD affiliated | Core Wealth Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 5, 2022 | Sep 28, 2022 (54 d) |
| Andrea Steiner | Western International Securities BD affiliated | Consolidated Portfolio Review Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2022 | Aug 8, 2022 |
| Spencer Schreiber Miller | Western International Securities BD affiliated | Coordinated Wealth Management, LLC unclassified | Other | Jul 25, 2022 | May 28, 2015 |
| B. David Goldstein | Western International Securities BD affiliated | Wealthplan Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 22, 2022 | Jun 30, 2022 |
| Ellen Kathia Shearin | Western International Securities BD affiliated | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2022 | Jun 3, 2022 |
| Patrick Thomas Bolger | Western International Securities BD affiliated | Pb Capital no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 10, 2022 | May 10, 2022 |
| Todd Richard Potter | Western International Securities BD affiliated | Greatdane Investment LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 29, 2022 | Apr 29, 2022 |
| Scott David Litner | Western International Securities BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 31, 2022 | Mar 28, 2022 |
| Daniel Keith Beech | Western International Securities BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2022 | Feb 2, 2023 (330 d) |
| Ernesto A. Chavez | Western International Securities BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2022 | Mar 3, 2022 |
| Marc Michael Miller | Western International Securities BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Aug 16, 2021 |
| Brian K Hioe | Western International Securities BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2021 | Sep 14, 2021 (60 d) |
| Anna Farzam Pourdavoud | Western International Securities BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 16, 2021 | Aug 27, 2021 (72 d) |
| Christopher George Cerini | Western International Securities BD affiliated | Adviceperiod, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2021 | Apr 13, 2021 |
| Alison Oriana Vento | Western International Securities BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Dec 8, 2022 (707 d) |
| Cesar A. Cortes | Western International Securities BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 14, 2020 |
| Marcy Lynn Vaughan | Western International Securities BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 14, 2020 | Nov 4, 2020 |
| Jesus Lopez-Castaneda | Western International Securities BD affiliated | F3logic, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 2, 2020 | Sep 10, 2020 |
| Jerome Samuel Aron | Western International Securities BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2020 | Jul 6, 2020 |
| Alicia Christine Arciniega | Western International Securities BD affiliated | Smart Investments Advisory Incorporated state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 9, 2020 | Jan 1, 2025 (1667 d) |
| Scott Leonard Dynan | Western International Securities BD affiliated | Round Rock Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2020 | Sep 3, 2020 (91 d) |
| Naomi Ruth Rominski | Western International Securities BD affiliated | Geneos Wealth Management, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2020 | May 14, 2020 |
| Evan Philip Ocepek | Western International Securities BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2020 | Apr 16, 2020 |
| Jill Ann Henderson | Western International Securities BD affiliated | Forta Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2020 | Apr 2, 2020 |
| Jeffrey Patrick Wolfe | Western International Securities independent RIA | Eagle Strategies LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2020 | Mar 19, 2020 (44 d) |
| Kevin David Smallwood | Western International Securities independent RIA | Smallwood Financial Group LLC state registered | RIA to a state-registered adviser | Dec 31, 2019 | Jan 1, 2026 (2193 d) |
| Yanjuan Huang | Western International Securities independent RIA | Vienna Asset Management LLC independent RIA | RIA to RIA | Dec 10, 2019 | Nov 20, 2025 (2172 d) |
| David Holmes | Western International Securities independent RIA | Innovation Partners LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 3, 2019 | Aug 23, 2019 (51 d) |
| Robert James Stapleton | Western International Securities independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | Jul 2, 2019 | Jul 5, 2019 |
| Rhonda L. Campbell | Western International Securities independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | Jun 24, 2019 | Jul 5, 2019 |
| Steven Sunyuk Lew | Western International Securities independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Jun 18, 2019 | Jun 18, 2019 |
| Michael Ole Kokesh | Western International Securities independent RIA | Monetary Management Corporation state registered | RIA to a state-registered adviser | Jun 1, 2019 | May 30, 2019 |
| Seiichi Shinomiya | Western International Securities independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 22, 2019 | Apr 29, 2019 |
183 moves match.