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 Western International Securities

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
Timothy Jay Gandy	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Jan 10, 2014	Dec 16, 2013
Alexander John Nweeia	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2013	Apr 20, 2015 (475 d)
Rajiv Sharma	Polestar Investment Research, LLC unclassified	Western International Securities other	Other	Dec 31, 2013	Jun 1, 2012
Michael Ole Kokesh	Gbs Advisors other	Western International Securities other	Other	Dec 31, 2013	Jan 5, 2015 (370 d)
Michael Adam Bemoras	E. A. Horwitz LLC other	Western International Securities other	Other	Dec 20, 2013	Apr 1, 2013
Mark Curtis Walter	J.P. Morgan Securities LLC wirehouse	Western International Securities other	Other	Oct 21, 2013	Oct 21, 2013
Norma Manlapaz Cunanan	Morgan Stanley wirehouse	Western International Securities other	Other	Apr 23, 2013	Apr 25, 2013
Patrick Thomas Bolger	LPL Financial LLC other	Western International Securities other	Other	Apr 10, 2013	Apr 12, 2013
Sandi Y. Chui	Citigroup Global Markets Inc. other	Western International Securities other	Other	Mar 26, 2013	May 2, 2013 (37 d)
Cesar A. Cortes	Msi Financial Services, Inc. other	Western International Securities other	Other	Feb 5, 2013	Feb 5, 2013
Spencer Schreiber Miller	New England Securities Corporation other	Western International Securities other	Other	Feb 4, 2013	Feb 4, 2013
George Chris Sinanis	U.S. Bancorp Advisors, LLC other	Western International Securities other	Other	Jan 14, 2013	Jan 8, 2013
Travis Jay Henry	LPL Financial LLC other	Western International Securities other	Other	Dec 4, 2012	Nov 26, 2012
Fariba Z. Madison	U.S. Bancorp Investments, Inc. other	Western International Securities other	Other	Oct 29, 2012	Nov 26, 2012
Willy Ong Tan	Wells Fargo Advisors wirehouse	Western International Securities other	Other	Sep 24, 2012	Oct 10, 2012
Michaela Rauscher	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Western International Securities other	Other	Aug 2, 2012	Aug 1, 2012
Nazeeh I. Aranki	Ameriprise Financial Services, LLC national BD	Western International Securities other	Other	May 22, 2012	May 25, 2012
David Wayne Karin	Chase Investment Services Corp. other	Western International Securities other	Other	Apr 3, 2012	Apr 2, 2012
Alfredo Jorge Yanes	Suntrust Investment Services, Inc. other	Western International Securities other	Other	Mar 19, 2012	Jun 25, 2012 (98 d)
Daniel Mark Hazard	Laurel Wealth Advisors, Inc. other	Western International Securities other	Other	Feb 14, 2012	Feb 16, 2012
Arturo Hierro Bohigas	Bulltick Wealth Management, LLC other	Western International Securities other	Other	Feb 7, 2012	Feb 13, 2012
Thomas Matthew Weil	Burnham Asset Management Corp other	Western International Securities other	Other	Jan 23, 2012	Jan 23, 2012
Alex Boyd Mathis	LPL Financial LLC other	Western International Securities other	Other	Nov 22, 2011	Nov 15, 2011
Henry John Tallardy	Pgim Investments LLC other	Western International Securities other	Other	Nov 21, 2011	Jan 18, 2012 (58 d)
Arthur Brian Chalekian	Berthel Fisher & Company Financial Services, Inc. other	Western International Securities other	Other	Nov 15, 2011	Nov 16, 2011
Naomi Ruth Rominski	Geneos Wealth Management, Inc. other	Western International Securities other	Other	Nov 9, 2011	Nov 9, 2011
Matthew Christopher Woodward	Waddell & Reed other	Western International Securities other	Other	Aug 9, 2011	Aug 8, 2011
Christopher J Dennis	Burnham Asset Management Corp other	Western International Securities other	Other	Apr 1, 2011	Feb 18, 2011
Shannon Marie Powers	Wells Fargo Advisors wirehouse	Western International Securities other	Other	Mar 29, 2011	Nov 8, 2012 (590 d)
Parviz Paul Pourfarid	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Western International Securities independent RIA	Wirehouse to independent RIA	Nov 18, 2010	Sep 6, 2018 (2849 d)
Zak W Shapiro	Wells Fargo Advisors wirehouse	Western International Securities other	Other	Oct 14, 2010	Oct 27, 2010
Michelle Marie Schwab	MML Investors Services, LLC other	Western International Securities other	Other	Sep 30, 2010	Dec 8, 2010 (69 d)
David Irving Anson	Crowell, Weedon & Co. other	Western International Securities other	Other	Jul 19, 2010	Jul 20, 2010
Daniel Joseph Warren	LPL Financial LLC other	Western International Securities other	Other	Jun 29, 2010	Jun 15, 2010
John W. Holmquist	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Western International Securities other	Other	Nov 24, 2009	Nov 24, 2009
John B. Darmanian	Citigroup Global Markets Inc. other	Western International Securities other	Other	Sep 29, 2009	Sep 15, 2009
Victor Joseph Mastrella	Banc Of America Investment Services, Inc. unclassified	Western International Securities other	Other	Sep 3, 2009	Sep 2, 2009
Michael Dennis Toomey	Wells Fargo Advisors wirehouse	Western International Securities other	Other	Aug 17, 2009	Aug 19, 2009
Richard Alan Norkin	Financial West Group other	Western International Securities other	Other	Jul 27, 2009	Jul 27, 2009
John Arthur Caroli	UBS Financial Services Inc. wirehouse	Western International Securities other	Other	Jul 2, 2009	Jun 12, 2009
Christopher Paul Bernard	UBS Financial Services Inc. wirehouse	Western International Securities other	Other	Jul 2, 2009	Jun 12, 2009
Andrew John Kaiser	American Portfolios Advisors, Inc other	Western International Securities other	Other	Jun 30, 2009	Jun 8, 2009
David Brock Whitson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Western International Securities other	Other	May 6, 2009	May 6, 2009
Cathie Michelle Callahan D'Itri	Morgan Stanley & Co. LLC unclassified	Western International Securities other	Other	Apr 20, 2009	Apr 21, 2009
Sean M. Mcgrath	Banc Of America Investment Services, Inc. unclassified	Western International Securities other	Other	Feb 23, 2009	Feb 20, 2009
Vartan Simon Telian	Morgan Stanley & Co. LLC unclassified	Western International Securities other	Other	Feb 17, 2009	Feb 17, 2009
Paula Juszczyk	Raymond James Financial Services Advisors, Inc other	Western International Securities other	Other	Feb 13, 2009	Feb 13, 2009
Bradley Clifford Kaiser	Valdes, Kaiser & Associates, LLC unclassified	Western International Securities other	Other	Feb 9, 2009	Feb 11, 2009
Robert Vincent Sessa	Financial West Group other	Western International Securities other	Other	Dec 16, 2008	Dec 15, 2008
Richard Howard Case	Crowell, Weedon & Co. other	Western International Securities other	Other	Oct 28, 2008	Oct 21, 2008
Debra Marcy Reda-Cappos	Crowell, Weedon & Co. other	Western International Securities other	Other	Oct 28, 2008	Oct 20, 2008
Patrick Kevin Dailey	First Allied Securities, Inc. other	Western International Securities other	Other	Oct 20, 2008	Mar 24, 2009 (155 d)
Yvette Sanchez Amaro	Raymond James Financial Services, Inc. unclassified	Western International Securities other	Other	Oct 10, 2008	Oct 10, 2008
Linda Anne Wenker	First Allied Securities, Inc. other	Western International Securities other	Other	Aug 25, 2008	Aug 20, 2008
Douglas Cy Waisner	Financial West Group other	Western International Securities other	Other	Jun 26, 2008	May 27, 2008
Gaylord Wesley Rohloff	Financial West Group other	Western International Securities other	Other	Jun 26, 2008	May 27, 2008
Krikor Demirjian	Financial West Group other	Western International Securities other	Other	Jun 23, 2008	May 28, 2008
Robert Bennett Johnston	Financial West Group other	Western International Securities other	Other	Jun 20, 2008	May 28, 2008
Laurie Lujan	Financial West Group other	Western International Securities other	Other	Jun 20, 2008	May 28, 2008
Marcus Alan Silver	Financial West Group other	Western International Securities other	Other	Jun 20, 2008	May 28, 2008

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216 moves match.