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 Midwestern Securities Trading Co.,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
Danielle Nichole DelongAe Wealth Management, LLC BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 27, 2025Jul 28, 2025 (31 d)
Nathaniel MayesThrivent Investment Management Inc. BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 9, 2024Aug 19, 2024
Dana Brandl TupperRaymond James Financial Services Advisors, Inc BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 3, 2024Jun 28, 2024
Anne Elizabeth SchuttNorthwestern Mutual Investment Services,LLC no RAUMMidwestern Securities Trading Co.,LLC independent RIAOtherJan 5, 2024Jan 25, 2024
Cullen Miles PopeKeystone Financial Group, LLC independent RIAMidwestern Securities Trading Co.,LLC independent RIARIA to RIAJul 28, 2023Aug 8, 2023
Mark Anthony Montes De OcaJ.P. Morgan Securities LLC wirehouseMidwestern Securities Trading Co.,LLC independent RIAWirehouse to independent RIAJun 10, 2023Jun 28, 2023
Melody Lea TerrellCetera Investment Advisers LLC BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 19, 2023May 25, 2023
Josiah Eugene SpringerEdward Jones national BDMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 6, 2022Jan 5, 2023 (91 d)
Matthew Geoffrey BuetowPrincipal Securities, Inc. BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 1, 2022Apr 5, 2023 (216 d)
Nikolas Steven AdamsMacro Wealth Management, Inc. state registeredMidwestern Securities Trading Co.,LLC independent RIAOtherMay 11, 2022Aug 12, 2021
Crystal M. LancePnc Wealth Management BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIADec 13, 2018Jan 2, 2019
Marc Jonathan TheienCetera Investment Advisers LLC BD affiliatedMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 1, 2018Aug 1, 2018
Jason Carl O'BrienPruco Securities, LLC otherMidwestern Securities Trading Co.,LLC otherOtherJul 27, 2017Jul 5, 2017
Jason Frederick StadsholtOsaic Institutions, Inc. otherMidwestern Securities Trading Co.,LLC otherOtherMar 31, 2017Apr 3, 2017
Timothy Randall FlinnEquitable Advisors, LLC national BDMidwestern Securities Trading Co.,LLC otherOtherJul 28, 2016Aug 17, 2016
David James FitzgeraldStifel, Nicolaus & Company, Incorporated national BDMidwestern Securities Trading Co.,LLC otherOtherApr 9, 2015Apr 6, 2015
Sarah Lee KeeferEdward Jones national BDMidwestern Securities Trading Co.,LLC otherOtherMay 6, 2013May 3, 2013
Mark Wesley BrownleeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMidwestern Securities Trading Co.,LLC otherOtherNov 2, 2012Nov 1, 2012
Joel D PiercePnc Wealth Management otherMidwestern Securities Trading Co.,LLC otherOtherMar 22, 2012Apr 4, 2012
Jeremy T DowninLPL Financial LLC otherMidwestern Securities Trading Co.,LLC otherOtherOct 18, 2011Apr 13, 2013 (543 d)
Concetta Maria SicilianoEdward Jones national BDMidwestern Securities Trading Co.,LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 10, 2011Jun 8, 2021 (3802 d)
Bradley Alan ArndtValic Financial Advisors, Inc. otherMidwestern Securities Trading Co.,LLC otherOtherJan 6, 2011Jan 7, 2011
Mark Allen GregorEdward Jones national BDMidwestern Securities Trading Co.,LLC otherOtherMay 5, 2010Aug 2, 2010 (89 d)
Brian Howard CardWells Fargo Advisors wirehouseMidwestern Securities Trading Co.,LLC otherOtherMar 12, 2010Mar 1, 2010
Louis Joseph WasilewskiRaymond James Financial Services Advisors, Inc otherMidwestern Securities Trading Co.,LLC otherOtherDec 21, 2009Dec 21, 2009
David Michael GundyValic Financial Advisors, Inc. otherMidwestern Securities Trading Co.,LLC otherOtherJul 30, 2009Jul 27, 2009
Kyle Randall JonesUvest Financial Services Group, Inc. unclassifiedMidwestern Securities Trading Co.,LLC otherOtherJun 13, 2008Jun 6, 2008
Michael Leo WempleChase Investment Services Corp. otherMidwestern Securities Trading Co.,LLC otherOtherNov 2, 2007Mar 10, 2008 (129 d)
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28 moves match.