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 The L. Warner Companies, 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
Edward A DixonDixon Associates, Inc. unclassifiedThe L. Warner Companies, Inc independent RIAOtherDec 31, 2024Jul 17, 2024
Michael Thomas AndersonFinestone Partners unclassifiedThe L. Warner Companies, Inc independent RIAOtherJun 6, 2022Jan 24, 2022
Ala SmochinskyFinestone Partners unclassifiedThe L. Warner Companies, Inc independent RIAOtherJun 6, 2022Jan 24, 2022
Joseph Michael PlumeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseThe L. Warner Companies, Inc independent RIAWirehouse to independent RIAMar 4, 2021Mar 24, 2022 (385 d)
Richard Dean SpiveyUnited Brokerage Services Inc otherThe L. Warner Companies, Inc independent RIAOtherAug 30, 2016Jan 12, 2026 (3422 d)
Timothy Joseph TrussStanford Capital Management, LLC unclassifiedThe L. Warner Companies, Inc otherOtherMar 31, 2009May 8, 2009 (38 d)
John Felix KurutzLegg Mason Wood Walker, Incorporated unclassifiedThe L. Warner Companies, Inc otherOtherJun 29, 2005Dec 6, 2005 (160 d)
Samrang Vattana HaiLegg Mason Wood Walker, Incorporated unclassifiedThe L. Warner Companies, Inc otherOtherApr 15, 2005Apr 14, 2008 (1095 d)
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8 moves match.