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
Terry Tin Sing Tang	Western International Securities independent RIA	Southern California Wealth Management Associates state registered	RIA to a state-registered adviser	Mar 6, 2019	Nov 22, 2024 (2088 d)
Robin Wun-Hsiung Chan	Western International Securities independent RIA	Avidian Wealth Solutions independent RIA	RIA to RIA	Mar 1, 2019	Apr 2, 2019 (32 d)
Scott Newhouse	Western International Securities independent RIA	Forthright Finances LLC state registered	RIA to a state-registered adviser	Mar 1, 2019	Feb 17, 2021 (719 d)
Alfredo Jorge Yanes	Western International Securities independent RIA	Actitrust Wealth Management LLC mixed wealth	RIA to RIA	Dec 18, 2018	Sep 16, 2016
Willy Ong Tan	Western International Securities independent RIA	Tcfg Investment Advisors, LLC independent RIA	RIA to RIA	Aug 1, 2018	Aug 1, 2018
Patricia Margaret Kappen	Western International Securities other	Centaurus Financial, Inc. other	Other	Feb 23, 2018	Feb 23, 2018
Allen Michael Bynum	Western International Securities other	Fmi other	Other	Feb 1, 2018	Feb 2, 2018
Mauro Michael D'Amico	Western International Securities other	D'Amico & Lowe, LLC unclassified	Other	Jan 16, 2018	Jan 8, 2007
Aram Tony Urfalyan	Western International Securities other	Pruco Securities, LLC BD affiliated	Other	Jan 2, 2018	Feb 12, 2018 (41 d)
Steven Everett Hoppel	Western International Securities other	Kelsey Financial, LLC independent RIA	Other	Dec 31, 2017	Jun 25, 2021 (1272 d)
Kiel Spencer Holmes	Western International Securities other	Kelsey Financial, LLC unclassified	Other	Dec 31, 2017	Jan 2, 2018
Richard Alan Norkin	Western International Securities other	Sagepoint Financial, Inc. BD affiliated	Other	Nov 13, 2017	Nov 13, 2017
Carter Ashly Morrison	Western International Securities other	American Portfolios Advisors, Inc other	Other	Jul 21, 2017	Jul 21, 2017
Michelle Marie Schwab	Western International Securities other	Ellsworth Advisors, LLC independent RIA	Other	May 5, 2017	Nov 9, 2018 (553 d)
Adam John Meyers	Western International Securities other	Goldey Capital LLC other	Other	Mar 29, 2017	Mar 29, 2017
William Hooker Ake	Western International Securities other	Fort Sheridan Advisors LLC other	Other	Feb 13, 2017	Nov 14, 2013
Matthew Scott Saltzgaber	Western International Securities other	LPL Financial LLC other	Other	Jul 21, 2016	Mar 16, 2017 (238 d)
Rajiv Sharma	Western International Securities other	Polestar Capital LLC state registered	Other	Jun 14, 2016	Nov 3, 2025 (3429 d)
Christopher J Dennis	Western International Securities other	Acg Wealth Inc. other	Other	Dec 31, 2015	Nov 11, 2015
Michael Dennis Toomey	Western International Securities other	Ameriprise Financial Services, LLC national BD	Other	Nov 23, 2015	Nov 20, 2015
John Arthur Caroli	Western International Securities other	Bcs Private Wealth Management no RAUM	Other	Sep 2, 2015	Apr 17, 2015
Christopher Paul Bernard	Western International Securities other	Bcs Private Wealth Management no RAUM	Other	Sep 2, 2015	Apr 17, 2015
Michael Henry Meyers	Western International Securities other	Mountain Hill Investment Partners other	Other	Aug 28, 2015	Feb 24, 2016 (180 d)
Andrew John Kaiser	Western International Securities other	Mountain Hill Investment Partners other	Other	Jun 9, 2015	Jun 28, 2016 (385 d)
Matthew Christopher Woodward	Western International Securities other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 28, 2015	May 6, 2015
Eva Mirjam Weber Bogdan	Western International Securities other	Payden & Rygel other	Other	Mar 10, 2015	Mar 20, 2015
Marcus Alan Silver	Western International Securities other	First Allied Advisory Services, Inc. other	Other	Dec 9, 2014	Dec 8, 2014
Henry John Tallardy	Western International Securities other	First Allied Advisory Services, Inc. other	Other	Dec 9, 2014	Dec 8, 2014
Paula Juszczyk	Western International Securities other	Eagle Strategies LLC other	Other	Oct 31, 2014	Dec 24, 2014 (54 d)
Scott Arthur Thomas	Western International Securities other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2014	Jun 16, 2014
Victor Joseph Mastrella	Western International Securities other	First Allied Advisory Services, Inc. other	Other	Jun 16, 2014	Jun 16, 2014
Michael Adam Bemoras	Western International Securities other	Goldman Sachs Wealth Services, L.P. BD affiliated	Other	Jan 13, 2014	Oct 10, 2024 (3923 d)
Kathleen Cassandra Pruess	Western International Securities other	Morgan Stanley wirehouse	Other	Dec 20, 2013	Jan 28, 2014 (39 d)
Francesco Biasi	Western International Securities other	Transamerica Financial Advisors, LLC other	Other	Aug 6, 2013	Aug 8, 2013
Zak W Shapiro	Western International Securities other	Oppenheimer & Co. Inc. other	Other	Jun 14, 2013	Jun 5, 2013
Milagros Ramona Perez Leal	Western International Securities other	Loyola Asset Management LLC other	Other	Dec 31, 2012	Oct 20, 2011
Arturo Hierro Bohigas	Western International Securities other	Loyola Asset Management LLC other	Other	Dec 31, 2012	Mar 7, 2012
Nicholas Patino	Western International Securities other	Loyola Asset Management LLC other	Other	Dec 31, 2012	Sep 14, 2010
Jaime Domenech Macias	Western International Securities other	Loyola Asset Management LLC other	Other	Dec 31, 2012	Sep 27, 2010
Marcos Andres Segrera	Western International Securities other	Loyola Asset Management LLC other	Other	Dec 31, 2012	May 24, 2012
Alvaro Ramon Castillo	Western International Securities other	Loyola Asset Management LLC other	Other	Nov 12, 2012	Jan 1, 2025 (4433 d)
Donna M Zanetti	Western International Securities other	Pennsylvania Capital Management Inc. other	Other	Oct 3, 2012	May 9, 2013 (218 d)
Patrick Kevin Dailey	Western International Securities other	Cetera Advisor Networks LLC other	Other	Jul 9, 2012	Jul 11, 2012
Randall Irvin Goldring	Western International Securities other	Morgan Stanley wirehouse	Other	Apr 17, 2012	Apr 26, 2012
Hani Yacoub Musleh	Western International Securities other	Gbs Advisors other	Other	Mar 16, 2012	Jul 11, 2012 (117 d)
James Robert Cable	Western International Securities other	Coastwise Capital Group, LLC other	Other	Feb 6, 2012	Feb 7, 2012
Alfredo Arturo Sandoval	Western International Securities other	The Private Investment Group, Inc. other	Other	Dec 31, 2011	Oct 8, 2014 (1012 d)
Jared J Cutler	Western International Securities other	Five Factor Capital Advisors state registered	Other	Apr 14, 2011	Jul 10, 2013 (818 d)
Philip Victor Boucher	Western International Securities other	Bridge Advisory LLC other	Other	Mar 8, 2010	Mar 8, 2010
Tamika D Workmon	Western International Securities other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 24, 2010	Dec 12, 2011 (656 d)
Harold Bowler Parker	Western International Securities other	Holly Street Wealth Advisors other	Other	Dec 31, 2009	May 23, 2016 (2335 d)
Craig Robert Watanabe	Western International Securities other	Nrp Financial, Inc. unclassified	Other	Oct 9, 2009	May 30, 2008
John Bernard Roeckel	Western International Securities other	Cetera Investment Advisers LLC BD affiliated	Other	Oct 20, 2008	Mar 31, 2023 (5275 d)
Susan Fuhrman-Holin	Western International Securities other	Independent Financial Partners BD affiliated	Other	Oct 20, 2008	May 16, 2025 (6052 d)
David James Dunn	Western International Securities other	Kingsbridge Private Wealth Management, Inc. unclassified	Other	Jul 9, 2008	May 6, 2008
Rupert B Gregorio	Western International Securities other	Morgan Stanley & Co. LLC unclassified	Other	Mar 14, 2008	Mar 20, 2008
James Norman Riley	Western International Securities other	Td Ameritrade, Inc. no RAUM	Other	Jan 15, 2008	Jan 16, 2008
Jerome Richard Slusiewicz	Western International Securities other	Pacific Financial Planners, LLC state registered	Other	Aug 15, 2007	Jul 22, 2025 (6551 d)
Andrew J. Lais	Western International Securities other	Associated Securities Corp. unclassified	Other	May 1, 2007	Nov 16, 2007 (199 d)
Robert A Cooke Sr.	Western International Securities other	Broxton Capital Advisors LLC other	Other	May 1, 2007	Apr 15, 2008 (350 d)

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183 moves match.