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 Kingswood Wealth Advisors, 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.

AdvisorFromToTypeLeftRegistered
Namhee ParkMirae Asset Wealth Management (USA) Inc. unclassifiedKingswood Wealth Advisors, LLC independent RIAOtherOct 1, 2021Oct 5, 2021
Robert Leonard DefrezeCadaret Grant & Co Inc BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 20, 2021Aug 19, 2021
Danielle Marie MarianoCadaret Grant & Co Inc BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 20, 2021Aug 19, 2021
Derrick Salvador AvelarBenchmark Advisory Services, LLC independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIAAug 18, 2021Aug 18, 2021
Peter Barry WolkSecurities America Advisors, Inc. BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 22, 2020Oct 14, 2020
Robert Joseph RyderMutual Advisors, LLC BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2020Jul 28, 2021 (327 d)
Luke F BaumCl Wealth Management LLC BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 17, 2020Jan 19, 2022 (673 d)
Peter Frederic StegerCambridge Investment Research Advisors, Inc. BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 11, 2019Mar 1, 2019
Judson Harris GeeHayden Royal independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIAFeb 7, 2019Feb 7, 2019
Bruce George MclarenMascoma Wealth Management independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIAOct 25, 2018Nov 13, 2018
Douglas E DortHarbor Financial Services, LLC independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIAOct 16, 2018Oct 2, 2018
Nicole Marie EnglishLucia Capital Group independent RIAKingswood Wealth Advisors, LLC independent RIARIA to RIASep 13, 2018Jan 31, 2019 (140 d)
Norman Lee AndersonFirst Allied Advisory Services, Inc. BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 30, 2018Nov 7, 2018 (69 d)
Carolyn Rebecca WyattWaddell & Reed BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 26, 2018Jul 30, 2018
Ria GostCuso Financial Services, L.P. BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 26, 2018Jul 5, 2018
Douglas Duane NelsonWaddell & Reed BD affiliatedKingswood Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 21, 2018Jul 11, 2018
Thad Rankin BisselleMorgan Stanley wirehouseKingswood Wealth Advisors, LLC independent RIAWirehouse to independent RIAApr 13, 2018Apr 18, 2018
Mohamed A AlsoraimiSorrento Pacific Financial, LLC BD affiliatedKingswood Wealth Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserDec 15, 2017Jan 4, 2018
John J MclaughlinPruco Securities, LLC BD affiliatedKingswood Wealth Advisors, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserNov 10, 2017Nov 21, 2017
Eric Scott FelsenfeldH. Beck, Inc. otherKingswood Wealth Advisors, LLC no RAUMOtherOct 17, 2017Oct 18, 2017
William R YoungH. Beck, Inc. otherKingswood Wealth Advisors, LLC no RAUMOtherOct 17, 2017Mar 15, 2018 (149 d)
Gabriel Arturo UruburoH. Beck, Inc. otherKingswood Wealth Advisors, LLC no RAUMOtherOct 17, 2017Oct 18, 2017
Steven George CollinsFinancial West Group otherKingswood Wealth Advisors, LLC no RAUMOtherAug 15, 2017Aug 31, 2017
Taj Zachary RohrBb&T Investment Services, Inc. otherKingswood Wealth Advisors, LLC no RAUMOtherJul 26, 2017Aug 16, 2017
Michael K De LuzFinancial West Group otherKingswood Wealth Advisors, LLC no RAUMOtherMay 4, 2017Nov 2, 2017 (182 d)
Ashley E PedersenLPL Financial LLC otherKingswood Wealth Advisors, LLC independent RIAOtherAug 22, 2016Aug 21, 2018 (729 d)
H. Terry MartineAlphastar Capital Management otherKingswood Wealth Advisors, LLC independent RIAOtherDec 23, 2013Jun 27, 2018 (1647 d)
Page 3 of 3Previous
147 moves match.