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.

AdvisorFromToTypeLeftRegistered
Robert Keith ChaconFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 28, 2008
Arthur Robert FuFinancial West Group otherWestern International Securities otherOtherJun 20, 2008May 27, 2008
Lisa-Ann Tomiko NouchiFirst Allied Securities, Inc. otherWestern International Securities otherOtherJun 6, 2008Sep 4, 2008 (90 d)
Deborah Ruth FrankelFinancial West Group otherWestern International Securities otherOtherJun 6, 2008May 28, 2008
Jared J CutlerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWestern International Securities otherOtherApr 17, 2008Mar 2, 2011 (1049 d)
David James DunnJ.P. Morgan Securities LLC wirehouseWestern International Securities otherOtherMar 25, 2008Mar 17, 2008
Karen Tran ChungIndependent Financial Group, LLC otherWestern International Securities otherOtherNov 13, 2007Nov 13, 2007
Dean Harry SalminenRBC Capital Markets, LLC national BDWestern International Securities otherOtherOct 23, 2007Feb 5, 2017 (3393 d)
Seiichi ShinomiyaUBS Financial Services Inc. wirehouseWestern International Securities otherOtherAug 29, 2007Sep 22, 2016 (3312 d)
Gino Nick ChiappettaCommonwealth Financial Network national BDWestern International Securities otherOtherJul 19, 2007Nov 23, 2009 (858 d)
Linda Jane OlesonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWestern International Securities otherOtherMay 25, 2007May 22, 2008 (363 d)
Mark Glenn LarkinFirst Allied Securities, Inc. otherWestern International Securities otherOtherMay 14, 2007Jul 30, 2007 (77 d)
Arthur Cameron LaneWaddell & Reed otherWestern International Securities otherOtherMar 7, 2007Feb 28, 2007
Todd Richard PotterMorgan Stanley Dw Inc. unclassifiedWestern International Securities otherOtherDec 6, 2006Dec 8, 2006
Milagros Ramona Perez LealCitigroup Global Markets Inc. otherWestern International Securities otherOtherNov 10, 2006Aug 23, 2011 (1747 d)
Alvaro Ramon CastilloCitigroup Global Markets Inc. otherWestern International Securities otherOtherNov 10, 2006Oct 20, 2006
James Norman RileyA. G. Edwards & Sons, Inc. unclassifiedWestern International Securities otherOtherNov 7, 2006Nov 8, 2006
Jeffrey Dwight BrandeenOppenheimer & Co. Inc. otherWestern International Securities otherOtherOct 17, 2006Oct 27, 2006
Hani Yacoub MuslehMML Investors Services, LLC otherWestern International Securities otherOtherJul 18, 2006Jun 1, 2010 (1414 d)
Kevin David SmallwoodInvestacorp Advisory Services Inc otherWestern International Securities otherOtherJul 13, 2006Jun 14, 2006
Robert A Cooke Sr.UBS Financial Services Inc. wirehouseWestern International Securities otherOtherApr 11, 2006Mar 27, 2006
Philip Victor BoucherCitigroup Global Markets Inc. otherWestern International Securities otherOtherFeb 16, 2006Jan 27, 2006
Kim Baughman ShortCitigroup Global Markets Inc. otherWestern International Securities otherOtherSep 16, 2005Sep 6, 2005
Richard Charles PonceAmeriprise Financial Services, LLC national BDWestern International Securities otherOtherAug 4, 2005Aug 4, 2005
Peter Arpad TrummerWaddell & Reed otherWestern International Securities otherOtherMar 28, 2005Feb 13, 2006 (322 d)
John Bernard RoeckelNrp Financial, Inc. unclassifiedWestern International Securities otherOtherFeb 17, 2005Feb 29, 2008 (1107 d)
Susan Fuhrman-HolinNrp Financial, Inc. unclassifiedWestern International Securities otherOtherFeb 17, 2005Feb 29, 2008 (1107 d)
Thomas Hoang ChauUBS Financial Services Inc. wirehouseWestern International Securities otherOtherFeb 8, 2005Jan 11, 2005
Keith Yoshiaki NunokawaUBS Financial Services Inc. wirehouseWestern International Securities otherOtherDec 10, 2004Nov 26, 2004
John Robert BoguczUBS Financial Services Inc. wirehouseWestern International Securities independent RIAWirehouse to independent RIANov 4, 2004Sep 18, 2018 (5066 d)
Alfredo Arturo SandovalNrp Financial, Inc. unclassifiedWestern International Securities otherOtherSep 2, 2004Jun 3, 2010 (2100 d)
Jerome Richard SlusiewiczWells Fargo Advisors wirehouseWestern International Securities otherOtherJun 25, 2004Jul 30, 2007 (1130 d)
David Gary SimonQuest Capital Strategies, Inc. otherWestern International Securities otherOtherJan 30, 2004Mar 26, 2004 (56 d)
Rupert B GregorioCharles Schwab & Co., Inc. national BDWestern International Securities otherOtherJan 29, 2004Nov 29, 2004 (305 d)
Michael George HefnerUBS Financial Services Inc. wirehouseWestern International Securities otherOtherDec 15, 2003Dec 13, 2005 (729 d)
Randall Irvin GoldringCitigroup Global Markets Inc. otherWestern International Securities otherOtherMar 18, 2003Oct 29, 2010 (2782 d)
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216 moves match.