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 Wedbush Securities Inc.

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
Brian Jonathan MatzCooper Mcmanus otherWedbush Securities Inc. otherOtherDec 22, 2016Dec 20, 2016
Vincent BurkeWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherSep 21, 2016Feb 2, 2017 (134 d)
Victoria Nell NabaggalaCommonwealth Financial Network national BDWedbush Securities Inc. otherOtherSep 20, 2016Jan 8, 2018 (475 d)
Stephen Chung-Yee LohWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherJul 7, 2016Jul 6, 2016
John Joseph ArnoldRaymond James & Associates, Inc. national BDWedbush Securities Inc. otherOtherJun 27, 2016Oct 25, 2016 (120 d)
Karl PettijohnJ.P. Morgan Securities LLC wirehouseWedbush Securities Inc. otherOtherMay 12, 2016May 26, 2016
Charles Victor FreemontMorgan Stanley wirehouseWedbush Securities Inc. otherOtherMar 15, 2016Jun 14, 2016 (91 d)
Douglas John GallowayWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherFeb 4, 2016Feb 2, 2016
Daniel Ian StieffLPL Financial LLC otherWedbush Securities Inc. otherOtherDec 3, 2015Dec 7, 2015
Allison Barbara ClagoStockcross Financial Services, Inc. unclassifiedWedbush Securities Inc. otherOtherDec 1, 2015Jan 5, 2016 (35 d)
Jack Theodore JohnsonRBC Capital Markets, LLC national BDWedbush Securities Inc. otherOtherOct 28, 2015Oct 8, 2015
Eddie Shu FungD.A. Davidson & Co. otherWedbush Securities Inc. otherOtherOct 26, 2015Oct 23, 2015
Matthew Gafoa FetuiWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherSep 9, 2015Sep 8, 2015
Paul ChenEquitable Advisors, LLC national BDWedbush Securities Inc. otherOtherJul 29, 2015Aug 26, 2015
Ted W HawksUBS Financial Services Inc. wirehouseWedbush Securities Inc. otherOtherJun 17, 2015Jul 2, 2015
Jeffrey Mark SpencerStifel, Nicolaus & Company, Incorporated national BDWedbush Securities Inc. otherOtherJun 10, 2015Jun 12, 2015
Heather KilbourneStifel, Nicolaus & Company, Incorporated national BDWedbush Securities Inc. otherOtherJun 10, 2015Jun 9, 2015
Jerome Francis HartlStifel, Nicolaus & Company, Incorporated national BDWedbush Securities Inc. otherOtherJun 10, 2015Jun 24, 2015
Jeffrey S SpencerStifel, Nicolaus & Company, Incorporated national BDWedbush Securities Inc. otherOtherJun 10, 2015Jun 12, 2015
Anton TkachenkoPlanmember Securities Corporation otherWedbush Securities Inc. otherOtherJun 3, 2015Jun 2, 2015
Ali Iman MatinWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherMar 11, 2015Mar 6, 2015
Jeffery Lane MallulaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWedbush Securities Inc. otherOtherMar 3, 2015Mar 3, 2015
Douglas M PryorStifel, Nicolaus & Company, Incorporated national BDWedbush Securities Inc. otherOtherJan 23, 2015Feb 4, 2015
Nathan Michael BorchardtRaymond James Financial Services Advisors, Inc otherWedbush Securities Inc. otherOtherJan 5, 2015Jan 15, 2015
Seungnam LeeKadence Advisors, LLC. unclassifiedWedbush Securities Inc. otherOtherDec 17, 2014Feb 4, 2015 (49 d)
Michael PakAmeriprise Financial Services, LLC national BDWedbush Securities Inc. otherOtherDec 16, 2014Nov 26, 2014
Daniel Chareles BertoletMorgan Stanley wirehouseWedbush Securities Inc. otherOtherNov 17, 2014Nov 7, 2014
Jeffrey Scott TiedgeSeacrest Wealth Management, LLC otherWedbush Securities Inc. otherOtherOct 7, 2014Oct 6, 2014
Eric Hyung KimMont Blanc Asset, Inc. state registeredWedbush Securities Inc. otherOtherOct 1, 2014Sep 15, 2011
Ronald Benjamin LeftonMorgan Stanley wirehouseWedbush Securities Inc. otherOtherSep 3, 2014Aug 22, 2014
Antoni Enrique LucasBeverly Hills Wealth Management, LLC otherWedbush Securities Inc. otherOtherApr 7, 2014Apr 14, 2014
Michael Butch KellyWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherNov 5, 2013Nov 12, 2013
Jesus S SungaMorgan Stanley wirehouseWedbush Securities Inc. otherOtherAug 21, 2013Aug 2, 2013
William Joseph AldrichThrivent Investment Management Inc. otherWedbush Securities Inc. otherOtherMar 4, 2013Nov 19, 2013 (260 d)
James Eugene ElyCitigroup Global Markets Inc. otherWedbush Securities Inc. otherOtherFeb 14, 2013Feb 11, 2015 (727 d)
Richard Allen WrightMorgan Stanley wirehouseWedbush Securities Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankOct 31, 2012Jan 5, 2026 (4814 d)
Cindy M McadamMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWedbush Securities Inc. otherOtherOct 23, 2012Jun 21, 2013 (241 d)
Anthony Aries MolinaStifel, Nicolaus & Company, Incorporated national BDWedbush Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 7, 2012Oct 22, 2024 (4459 d)
Michael Thomas AaronMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWedbush Securities Inc. otherOtherNov 2, 2011Jan 15, 2013 (440 d)
Kristina Cosma DowningUBS Financial Services Inc. wirehouseWedbush Securities Inc. otherOtherAug 25, 2011Jan 4, 2012 (132 d)
Gary Allen GrahamCrowell, Weedon & Co. otherWedbush Securities Inc. otherOtherAug 23, 2011Aug 23, 2011
Caleb Nathaniel RussellCrowell, Weedon & Co. otherWedbush Securities Inc. otherOtherAug 23, 2011Aug 22, 2011
Nicole ZetounaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWedbush Securities Inc. otherOtherAug 19, 2011Sep 9, 2011
Jill Laverne WilsonUBS Financial Services Inc. wirehouseWedbush Securities Inc. otherOtherAug 9, 2011Aug 2, 2011
April Lynn YoungChase Investment Services Corp. otherWedbush Securities Inc. otherOtherMay 26, 2011Jun 9, 2011
Courtney KershawMorgan Stanley wirehouseWedbush Securities Inc. otherOtherMar 11, 2011Feb 23, 2011
Paul Gregory ArthurMaxwell Noll Investment Advisors otherWedbush Securities Inc. otherOtherFeb 28, 2011Mar 2, 2011
Wesley Gordon ScottMorgan Stanley wirehouseWedbush Securities Inc. otherOtherFeb 28, 2011Feb 23, 2011
Lisa Ann DetannaMorgan Stanley wirehouseWedbush Securities Inc. otherOtherFeb 4, 2011Mar 9, 2011 (33 d)
Roc William WillisWells Fargo Advisors wirehouseWedbush Securities Inc. otherOtherJan 31, 2011Feb 17, 2011
Mark Fred AugustaStone & Youngberg LLC otherWedbush Securities Inc. otherOtherJan 28, 2011Jan 26, 2011
Brooks William MerrifieldLPL Financial LLC otherWedbush Securities Inc. otherOtherJan 11, 2011Jan 5, 2011
Mark Joseph RoblesMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWedbush Securities Inc. otherOtherOct 19, 2010Oct 18, 2010
Douglas George NewstromMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWedbush Securities Inc. otherOtherSep 21, 2010Sep 20, 2010
Elizabeth Anne WindischNpb Financial Group, LLC otherWedbush Securities Inc. otherOtherSep 21, 2010Oct 4, 2010
Karen Marie WaiteMorgan Stanley wirehouseWedbush Securities Inc. otherOtherJun 25, 2010Sep 27, 2011 (459 d)
Sheri L AmirsoleimaniMorgan Stanley wirehouseWedbush Securities Inc. otherOtherJun 24, 2010Jun 7, 2010
Stephen Robert ChingBff Wealth Management, Inc. state registeredWedbush Securities Inc. otherOtherJun 4, 2010Apr 21, 2010
Anthony Duvall LeeUBS Financial Services Inc. wirehouseWedbush Securities Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 30, 2010Jan 1, 2025 (5360 d)
John Mark WilkinsonAmeriprise Financial Services, LLC national BDWedbush Securities Inc. otherOtherApr 29, 2010Apr 26, 2010
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289 moves match.