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 |
|---|---|---|---|---|---|
| Richard Charles Ponce | Western International Securities other | Centaurus Financial, Inc. other | Other | Dec 13, 2006 | Nov 9, 2010 (1427 d) |
| Kim Baughman Short | Western International Securities other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | May 10, 2006 | Mar 26, 2007 (320 d) |
| Marshall Royal Cassedy | Western International Securities other | United Securities Alliance, Inc. unclassified | Other | Aug 29, 2005 | Jul 27, 2005 |
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183 moves match.