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 Financial West Group

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
Paul Glynn Lindsay	First Command Financial Planning, Inc. other	Financial West Group other	Other	Jun 30, 2006	Apr 21, 2008 (661 d)
Steven George Collins	Eagle Strategies LLC other	Financial West Group other	Other	Jun 26, 2006	Jul 11, 2006
Laurie Lujan	Citigroup Global Markets Inc. other	Financial West Group other	Other	Jun 8, 2006	May 26, 2006
Andrew Gene Duchan	Nfp Advisor Services, LLC other	Financial West Group other	Other	Apr 4, 2006	May 15, 2006 (41 d)
Robert Bennett Johnston	Citigroup Global Markets Inc. other	Financial West Group other	Other	Feb 8, 2006	Jan 27, 2006
Arthur Robert Fu	Citigroup Global Markets Inc. other	Financial West Group other	Other	Feb 8, 2006	Jan 27, 2006
Pamela Stamper Brandt	First Affirmative Financial Network LLC other	Financial West Group other	Other	Jan 13, 2006	Jan 13, 2006
Marcus Alan Silver	Ifmg Securities, Inc. unclassified	Financial West Group other	Other	Jan 4, 2006	Dec 21, 2005
Krista Anne Strohoffer	Citigroup Global Markets Inc. other	Financial West Group other	Other	Dec 5, 2005	Jan 20, 2006 (46 d)
Scott Michael Ozer	Citigroup Global Markets Inc. other	Financial West Group other	Other	Sep 22, 2005	Sep 2, 2005
Deborah Ruth Frankel	Wells Fargo Advisors wirehouse	Financial West Group other	Other	Jul 7, 2005	Jul 19, 2005
Ryan Scott Bristol	Banc Of America Investment Services, Inc. unclassified	Financial West Group other	Other	Jan 27, 2005	Feb 1, 2006 (370 d)
Robert Keith Chacon	Valic Financial Advisors, Inc. other	Financial West Group other	Other	Sep 10, 2004	Jul 12, 2005 (305 d)
Peter Joseph Mcneil	Equitable Advisors, LLC national BD	Financial West Group other	Other	Aug 4, 2004	Aug 9, 2004
Robert E Budavich	Cooper Mcmanus other	Financial West Group other	Other	May 24, 2004	Jun 10, 2004
Frederick Dowell Kienel	Wells Fargo Advisors wirehouse	Financial West Group other	Other	Feb 17, 2004	Sep 21, 2007 (1312 d)
Philip Todd Kirshman	Wells Fargo Advisors wirehouse	Financial West Group other	Other	Feb 6, 2004	Apr 4, 2008 (1519 d)
Manfred Dieter Wunderlich	Mutual Of Omaha Investor Services, Inc. no RAUM	Financial West Group other	Other	Jan 13, 2004	Aug 31, 2004 (231 d)
Larry Dale Peregrine	Morgan Stanley Dw Inc. unclassified	Financial West Group other	Other	Jan 6, 2004	Jan 14, 2004
Paul Cameron Macdonald	Cambridge Investment Research, Inc. unclassified	Financial West Group other	Other	Dec 31, 2003	Jan 10, 2006 (741 d)
Sean Francis Oflaherty	Commonwealth Financial Network national BD	Financial West Group other	Other	Nov 17, 2003	Nov 21, 2003
Richard David Derafelo	Waddell & Reed other	Financial West Group other	Other	Aug 15, 2003	Aug 15, 2003
Stephen Douglas Vallender	Ameriprise Financial Services, LLC national BD	Financial West Group other	Other	Aug 7, 2003	May 12, 2008 (1740 d)
Robert Matthew Funk	Ameriprise Financial Services, LLC national BD	Financial West Group other	Other	Jul 21, 2003	Aug 25, 2003 (35 d)
Douglas Martin Fair	Sentra Securities Corporation unclassified	Financial West Group other	Other	May 6, 2003	Apr 23, 2003
Julie Annette Broady	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Financial West Group other	Other	Mar 5, 2003	Mar 4, 2005 (730 d)
Richard Alan Norkin	Concourse Financial Group Advisors other	Financial West Group other	Other	Jan 31, 2003	Feb 6, 2003
Michael K De Luz	UBS Financial Services Inc. wirehouse	Financial West Group other	Other	Jan 14, 2003	May 27, 2014 (4151 d)
Gregory Fred Wendt	Prudential Equity Group, LLC unclassified	Financial West Group other	Other	Sep 16, 2002	Nov 7, 2002 (52 d)
Joseph Kenneth Brooks	Charles Schwab & Co., Inc. national BD	Financial West Group other	Other	Jul 16, 2002	Sep 3, 2004 (780 d)
Mark Warren Lamb	RBC Capital Markets, LLC national BD	Financial West Group other	Other	Jun 19, 2002	Jun 27, 2008 (2200 d)
Ronald Takao Sera	Independent Capital Management unclassified	Financial West Group other	Other	Jan 30, 1998	Mar 5, 2008 (3687 d)

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92 moves match.