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 Aw 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
Brady BrandtAmeriprise Financial Services, LLC national BDAw Securities no RAUMOtherApr 9, 2024May 29, 2024 (50 d)
Daniel William RauschFirst Allied Advisory Services, Inc. BD affiliatedAw Securities no RAUMOtherJan 2, 2020Dec 12, 2019
Cheyenne Gene WalkerSecurities America Advisors, Inc. BD affiliatedAw Securities no RAUMOtherJan 31, 2019Feb 1, 2019
Andrew David KesslerFounders Financial Securities, LLC otherAw Securities no RAUMOtherOct 6, 2015Nov 23, 2015 (48 d)
James Arthur WordenPathway Strategic Advisors otherAw Securities no RAUMOtherJan 9, 2014Jan 16, 2015 (372 d)
Katrina Larisa PeckAllworth Financial, L.P. otherAw Securities no RAUMOtherNov 5, 2012Jun 11, 2008
Adam Frank KintAllworth Financial, L.P. otherAw Securities no RAUMOtherJul 2, 2012Oct 16, 2008
David Anthony TiszaAllworth Financial, L.P. otherAw Securities no RAUMOtherJul 2, 2012Jun 11, 2008
Corey C GambleNiemann Capital Management Inc otherAw Securities no RAUMOtherFeb 10, 2012Mar 5, 2012
Justin Richard WilsonAllworth Financial, L.P. otherAw Securities no RAUMOtherJan 12, 2012Jun 12, 2008
Tracy Marie KliewerAllworth Financial, L.P. otherAw Securities no RAUMOtherSep 29, 2011Jun 11, 2008
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11 moves match.