DFX Intelligence
Advisor moves
Arrivals at Cwm, LLCWhat a move isA 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.
754 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Clay Michael Kazmierski | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2019 | Feb 4, 2019 |
| Jessica Rose Colston | Avantax Advisory Services BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2019 | Dec 4, 2019 (118 d) |
| Krista Nicole Thompson | Plancorp, LLC independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 7, 2019 | Oct 29, 2019 (83 d) |
| Matthew Aaron Kory | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2019 | Feb 4, 2019 |
| Thomas James Proos | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2019 | Apr 9, 2018 |
| Jill Elizabeth Gosz | J.P. Morgan Securities LLC wirehouse | Cwm, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 9, 2019 | Jun 28, 2019 |
| John William Parsons | Parsons Financial Advisors, Inc. unclassified | Cwm, LLC BD affiliated | Other | Jul 3, 2019 | Aug 5, 2019 (33 d) |
| Robert M Wellman | Edward Jones national BD | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2019 | Jan 10, 2020 (198 d) |
| Janet Rhodes Friedman | Abaris Financial Group, LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Jun 17, 2019 | Apr 1, 2019 |
| Abbey Lee Henderson | Abaris Financial Group, LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Jun 17, 2019 | Apr 1, 2019 |
| Steven Lee Ford | Cadaret Grant & Co Inc BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jun 17, 2019 |
| Eric Steven Ford | Cadaret Grant & Co Inc BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jun 17, 2019 |
| Matthew James Alspaugh | Cadaret Grant & Co Inc BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2019 | Jul 30, 2019 (46 d) |
| Shawn M Powell | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2019 | May 29, 2019 |
| Brent Dean Dome | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2019 | May 29, 2019 |
| Micoli Donn Bates | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2019 | May 29, 2019 |
| Marta Elena Curry | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2019 | Jun 7, 2019 |
| Karsten Gabriel Bond | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2019 | May 29, 2019 |
| Byron Reed Watkins | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2019 | May 29, 2019 |
| Clark James Mcdonald | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 3, 2019 | May 29, 2019 |
| Chad Edward Phipps | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 29, 2019 |
| Benjamin Jerome Heeren | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 29, 2019 |
| Kevin Paul Gruetter | Waddell & Reed BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2019 | May 29, 2019 |
| Keith M. Fiala | J.P. Morgan Securities LLC wirehouse | Cwm, LLC independent RIA | Wirehouse to independent RIA | May 16, 2019 | May 2, 2019 |
| Justin William Reed Carlson | Thrivent Investment Management Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2019 | Jan 10, 2023 (1338 d) |
| Benjamin Wills Bender | Raymond James Financial Services Advisors, Inc BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 8, 2019 | Apr 29, 2019 |
| Antoinette Susan Lobaito | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cwm, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 1, 2019 | May 29, 2019 |
| Christopher Anthony Lund | Capital Analysts BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 25, 2019 | Apr 30, 2019 |
| Andrew Reisdorff | Orion Portfolio Solutions, LLC independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2019 | May 31, 2019 (43 d) |
| Toby John Lafont | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 15, 2019 | Mar 20, 2019 |
| Emily N Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cwm, LLC independent RIA | Wirehouse to independent RIA | Apr 10, 2019 | May 6, 2019 |
| Christopher Michael Adams | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 9, 2019 | Mar 19, 2019 |
| Chad Michael Olivier | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 9, 2019 | Mar 19, 2019 |
| Robert Brandon Vettorel | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 9, 2019 | Apr 2, 2019 |
| Robert Nolan Dumas | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 9, 2019 | Mar 20, 2019 |
| Victor D Bell | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 8, 2019 | Apr 2, 2019 |
| Jacob F Lippert | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Apr 8, 2019 | Apr 2, 2019 |
| William Blake Royal | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Mar 18, 2019 | Feb 19, 2019 |
| Michael Dominic Garmone | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Feb 25, 2019 | Feb 4, 2019 |
| James E Couzens | Osaic Wealth, Inc. BD affiliated | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 14, 2019 | May 9, 2022 (1180 d) |
| John Francis Harty | LPL Financial LLC independent RIA | Cwm, LLC independent RIA | RIA to RIA | Feb 13, 2019 | Jan 31, 2019 |
| Charles Harbin Andrew | Larson Financial Group, LLC BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2019 | Mar 14, 2019 |
| Kevin Zlomke | Orion Portfolio Solutions, LLC mixed wealth | Cwm, LLC independent RIA | RIA to RIA | Feb 1, 2019 | Mar 25, 2019 (52 d) |
| Ryan Yamada | Mutual Of Omaha Investor Services, Inc. no RAUM | Cwm, LLC BD affiliated | Other | Jan 31, 2019 | Jun 11, 2019 (131 d) |
| Evan Eberly | Equitable Advisors, LLC national BD | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2019 | Mar 11, 2019 (39 d) |
| Steven Phillip Margulin | Retirement Extender (R) unclassified | Cwm, LLC independent RIA | Other | Jan 29, 2019 | Jul 30, 2018 |
| Matthew David Friedrichsen | Wells Fargo Advisors wirehouse | Cwm, LLC independent RIA | Wirehouse to independent RIA | Jan 8, 2019 | Jan 4, 2019 |
| Matthew Eston Pearson | Wells Fargo Advisors wirehouse | Cwm, LLC independent RIA | Wirehouse to independent RIA | Jan 8, 2019 | Jan 4, 2019 |
| Scott Alan Rhodes | Harbour Investment Management L.L.C. independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 4, 2019 | Jun 12, 2023 (1620 d) |
| Lisa Marie Thuer | Kabarec Financial Advisors Ltd independent RIA | Cwm, LLC independent RIA | RIA to RIA | Dec 31, 2018 | May 23, 2018 |
| Kevin H Christopher | Osaic Institutions, Inc. BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 11, 2019 |
| Mark Stephen Mccallum | Kabarec Financial Advisors Ltd independent RIA | Cwm, LLC independent RIA | RIA to RIA | Dec 31, 2018 | May 23, 2018 |
| Michael John Gruidel | Mutual Of Omaha Investor Services, Inc. no RAUM | Cwm, LLC BD affiliated | Other | Dec 19, 2018 | Apr 1, 2022 (1199 d) |
| Janet Ellen Barrett | Waddell & Reed BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2018 | Dec 7, 2018 |
| Douglas M Gjerde | Cambridge Investment Research Advisors, Inc. BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2018 | Nov 6, 2018 |
| Jeremy Thomas Weller | Cambridge Investment Research Advisors, Inc. BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2018 | Nov 6, 2018 |
| Christopher William Schuler | Cambridge Investment Research Advisors, Inc. BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2018 | Nov 6, 2018 |
| Scott Ernest Cadwell | Cadwell Wealth Asset Management, LLC unclassified | Cwm, LLC independent RIA | Other | Nov 30, 2018 | Jul 23, 2018 |
| Jacqueline Lee Bulava | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 28, 2018 | Nov 30, 2018 |
| Kristen Elizondo Rainone | Cadwell Wealth Asset Management, LLC unclassified | Cwm, LLC independent RIA | Other | Nov 26, 2018 | Aug 1, 2018 |