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 Northwest Asset Management

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
Craig Robert CavicchiaSws Partners, LLC otherNorthwest Asset Management otherOtherSep 19, 2016Oct 25, 2016 (36 d)
Lorie Chantelle JonesGallacher Capital Management, LLC otherNorthwest Asset Management otherOtherJul 29, 2016Aug 8, 2017 (375 d)
Jo Simmons AldridgeUBS Financial Services Inc. wirehouseNorthwest Asset Management otherOtherJul 15, 2016Jul 11, 2016
Wendy Adair BrittonCharles Schwab & Co., Inc. national BDNorthwest Asset Management otherOtherJul 6, 2016Jul 7, 2016
Christopher Scott TeofilakStrategic Advisers LLC national BDNorthwest Asset Management otherOtherOct 8, 2015Oct 8, 2015
Brian Ritchie RandallRBC Capital Markets, LLC national BDNorthwest Asset Management otherOtherFeb 27, 2014Feb 7, 2014
Carlos Luis ObandoUBS Financial Services Inc. wirehouseNorthwest Asset Management otherOtherDec 23, 2013Mar 11, 2014 (78 d)
James Andrew BurtonMorgan Stanley wirehouseNorthwest Asset Management otherOtherJan 16, 2013Jan 2, 2013
Brian Wayne BuskirkRBC Capital Markets, LLC national BDNorthwest Asset Management otherOtherAug 27, 2012Aug 10, 2012
Brady Brian BuskirkRBC Capital Markets, LLC national BDNorthwest Asset Management otherOtherAug 27, 2012Aug 10, 2012
Joseph Michael SchreiberAmeriprise Financial Services, LLC national BDNorthwest Asset Management otherOtherJul 25, 2012Jul 13, 2012
John William WattRBC Capital Markets, LLC national BDNorthwest Asset Management otherOtherJun 7, 2012Jun 6, 2012
Victoria Gascoigne CrosbyWells Fargo Advisors wirehouseNorthwest Asset Management otherOtherMar 19, 2012Mar 16, 2012
Douglas J DonnellyWells Fargo Advisors wirehouseNorthwest Asset Management otherOtherMar 13, 2012Mar 16, 2012
Loren Irvin DeshonMorton Clarke Inc. unclassifiedNorthwest Asset Management otherOtherJan 23, 2012Jan 13, 2012
Wendy Brokus MagnusonKey Investment Services LLC otherNorthwest Asset Management otherOtherSep 1, 2011Jul 20, 2012 (323 d)
Marty Edward PaulRBC Capital Markets, LLC national BDNorthwest Asset Management otherOtherMar 28, 2011Mar 25, 2011
Arthur Geronimo NunesIms Capital Management otherNorthwest Asset Management otherOtherJan 3, 2011Nov 30, 2010
William H Ziehl Jr.UBS Financial Services Inc. wirehouseNorthwest Asset Management otherOtherJun 3, 2009Mar 16, 2010 (286 d)
Robert John CenkoWestern Wealth Management unclassifiedNorthwest Asset Management otherOtherDec 31, 2008Jan 30, 2015 (2221 d)
Gregory Allen HeadrickUBS Financial Services Inc. wirehouseNorthwest Asset Management otherOtherAug 29, 2008Oct 9, 2008 (41 d)
Alice Lorraine BoytzUBS Financial Services Inc. wirehouseNorthwest Asset Management otherOtherAug 29, 2008Mar 1, 2010 (549 d)
Nelly Olinda MubashiUBS Financial Services Inc. wirehouseNorthwest Asset Management otherOtherAug 29, 2008Mar 1, 2010 (549 d)
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83 moves match.