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 W&S 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.

AdvisorFromToTypeLeftRegistered
Sean K OsbornW&S Brokerage Services, Inc. BD affiliatedOsaic Wealth, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 19, 2020Aug 14, 2020
Vaughn William KellermanW&S Brokerage Services, Inc. BD affiliatedKestra Advisory Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 29, 2020Aug 3, 2020
Placido John RodriguezW&S Brokerage Services, Inc. BD affiliatedPeak American Investment Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 22, 2020Aug 24, 2020 (33 d)
Tracy Alan TroxelW&S Brokerage Services, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherApr 6, 2020Apr 6, 2020
Patrick Heewoong KimW&S Brokerage Services, Inc. BD affiliatedCrown Capital Securities, L.P. BD affiliatedAffiliated broker-dealer or bank to anotherMar 31, 2020Jun 17, 2020 (78 d)
Michael Todd PugsleyW&S Brokerage Services, Inc. no RAUMFoundations Investment Advisors LLC independent RIAOtherJan 28, 2020Jan 29, 2020
Spencer LademanW&S Brokerage Services, Inc. no RAUMRegal Investment Advisors LLC BD affiliatedOtherJan 17, 2020Jan 16, 2020
Donnie A. BellW&S Brokerage Services, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJan 14, 2020Feb 17, 2020 (34 d)
Lance Dawayne StanislausW&S Brokerage Services, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 13, 2020Mar 9, 2020 (56 d)
Wuyang FuW&S Brokerage Services, Inc. no RAUMMorgan Stanley wirehouseOtherAug 15, 2019Sep 9, 2019
Alexander James Peterson-CrossW&S Brokerage Services, Inc. no RAUMState Farm Investment Management Corp. asset managerOtherAug 6, 2019Jun 9, 2020 (308 d)
Joseph A CobbW&S Brokerage Services, Inc. no RAUMCetera Investment Advisers LLC BD affiliatedOtherJul 10, 2019Jul 2, 2019
Terry TothW&S Brokerage Services, Inc. no RAUMAllstate Financial Advisors, LLC BD affiliatedOtherMar 22, 2019Mar 6, 2019
Mark A ThomasW&S Brokerage Services, Inc. no RAUMCambridge Investment Research Advisors, Inc. BD affiliatedOtherNov 29, 2018Feb 19, 2024 (1908 d)
Robert David LarkinW&S Brokerage Services, Inc. no RAUMPruco Securities, LLC BD affiliatedOtherNov 7, 2018Nov 9, 2018
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135 moves match.