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

Arrivals at Capital Guardian Wealth Management, LLC

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
Scott Stephen Chaisson	Oppenheimer & Co. Inc. other	Capital Guardian Wealth Management, LLC other	Other	Oct 15, 2009	Jul 20, 2012 (1009 d)
Christopher Todd	Morgan Stanley wirehouse	Capital Guardian Wealth Management, LLC other	Other	Sep 14, 2009	Sep 3, 2009
Andrew Jackson Wood	Mutual Service Corporation unclassified	Capital Guardian Wealth Management, LLC other	Other	Aug 13, 2009	Aug 12, 2009
Joseph Harold Littky	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Guardian Wealth Management, LLC other	Other	Aug 12, 2009	Aug 12, 2009
Everett Scott Youngberg	Citigroup Global Markets Inc. other	Capital Guardian Wealth Management, LLC other	Other	May 28, 2009	Jun 25, 2009
Edward John Dieguez	Citigroup Global Markets Inc. other	Capital Guardian Wealth Management, LLC other	Other	May 12, 2009	Jun 30, 2009 (49 d)
Stephen Rocco Facella	Raymond James Financial Services, Inc. unclassified	Capital Guardian Wealth Management, LLC other	Other	May 1, 2009	May 14, 2009
Allen Mathue Gonzalez	Raymond James Financial Services, Inc. unclassified	Capital Guardian Wealth Management, LLC other	Other	May 1, 2009	May 12, 2009
Ricardo Ramirez	Morgan Keegan & Company, LLC other	Capital Guardian Wealth Management, LLC other	Other	Apr 6, 2009	Nov 6, 2009 (214 d)
Rocky Steven Montgomery	Sagepoint Financial, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Mar 31, 2009	Mar 27, 2009
Grace Patricia Rocha	Stanford Group Company unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 23, 2009	Jul 30, 2009 (129 d)
Stephen Edward Wilson	Stanford Group Company unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 13, 2009	Jun 10, 2009 (89 d)
Roberto Ramiro Pena	Stanford Group Company unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 13, 2009	May 28, 2009 (76 d)
Robert Bryan Cannon	Stanford Group Company unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 13, 2009	Apr 3, 2009
Leila Taratus Evans	Stanford Group Company unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 13, 2009	Jun 10, 2009 (89 d)
Bert Deems May	Stanford Group Company unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 13, 2009	Apr 3, 2009
Anthony Charles Montanari	Citigroup Global Markets Inc. other	Capital Guardian Wealth Management, LLC other	Other	Feb 19, 2009	Feb 9, 2009
Charles Wallace Seigler	MML Investors Services, LLC other	Capital Guardian Wealth Management, LLC other	Other	Nov 7, 2008	Nov 20, 2008
Melissa Godwin Scott	Edward Jones national BD	Capital Guardian Wealth Management, LLC other	Other	Jan 8, 2008	Jul 10, 2009 (549 d)
David Watts Mcmahan	Raymond James Financial Services, Inc. unclassified	Capital Guardian Wealth Management, LLC other	Other	Jun 1, 2006	Apr 2, 2007 (305 d)
Michael Eric Fayed	Raymond James Financial Services, Inc. unclassified	Capital Guardian Wealth Management, LLC other	Other	Jun 1, 2006	Apr 2, 2007 (305 d)

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81 moves match.