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 Duncan-Williams, 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
Henry Mcnaughton Fyfe	Duncan-Williams, Inc. other	B. Riley Wealth Advisors, Inc. BD affiliated	Other	Oct 21, 2015	May 9, 2023 (2757 d)
Brian Robert Botto	Duncan-Williams, Inc. other	Raymond James Financial Services Advisors, Inc BD affiliated	Other	Oct 21, 2015	Jul 11, 2023 (2820 d)
Marc J Cabraja	Duncan-Williams, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Jul 30, 2015
Jonathan David Stambaugh	Duncan-Williams, Inc. other	Raymond James & Associates, Inc. national BD	Other	Apr 27, 2015	Apr 24, 2015
Phillip Robert Rogers	Duncan-Williams, Inc. other	B Riley Wealth Management other	Other	Apr 21, 2015	Apr 17, 2015
Justin Michael Taylor	Duncan-Williams, Inc. other	Charter Wealth Management mixed wealth	Other	Mar 20, 2015	Mar 20, 2015
Clayton Joseph Chapman	Duncan-Williams, Inc. other	Commonwealth Financial Network national BD	Other	Jan 5, 2015	Jan 8, 2015
Michelle Lynn East	Duncan-Williams, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 15, 2014	Nov 26, 2014 (42 d)
Patton Alan Teagle	Duncan-Williams, Inc. other	Raymond James & Associates, Inc. national BD	Other	Mar 31, 2014	Mar 28, 2014
Thomas Auld Jewett	Duncan-Williams, Inc. other	Raymond James & Associates, Inc. national BD	Other	Mar 31, 2014	Mar 28, 2014
Nancy Lucille Patterson	Duncan-Williams, Inc. other	Raymond James & Associates, Inc. national BD	Other	Mar 31, 2014	Mar 28, 2014
Sarah Elizabeth Lance Welch	Duncan-Williams, Inc. other	Raymond James & Associates, Inc. national BD	Other	Mar 31, 2014	Mar 31, 2014
Ginger A Shackelford	Duncan-Williams, Inc. other	Raymond James Financial Services Advisors, Inc BD affiliated	Other	Feb 21, 2014	Dec 11, 2023 (3580 d)
Myra Creasy Pierotti	Duncan-Williams, Inc. other	B Riley Wealth Management other	Other	Dec 18, 2013	Jan 28, 2014 (41 d)
Charles Alexander Dann	Duncan-Williams, Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 7, 2013	Nov 13, 2013 (37 d)
Gregory O'Neal Davis	Duncan-Williams, Inc. other	Century Wealth Management, LLC other	Other	Oct 3, 2013	Dec 11, 2013 (69 d)
Tammy Renee Alexander	Duncan-Williams, Inc. other	Wells Fargo Advisors wirehouse	Other	Jun 24, 2013	Jun 26, 2013
Joseph Friend	Duncan-Williams, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Jun 18, 2013	Jul 17, 2013
Thomas Lee Christenbury	Duncan-Williams, Inc. other	Strategic Advisory Services independent RIA	Other	Nov 16, 2012	Apr 27, 2017 (1623 d)
Darren Jones	Duncan-Williams, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Sep 14, 2011	Oct 4, 2011

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20 moves match.