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 Wainwright Investment Counsel 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Everett Clinton Lewis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wainwright Investment Counsel LLC mixed wealth | Wirehouse to independent RIA | Jul 3, 2023 | Jul 25, 2023 |
| Timothy Leo Schmidt | Td Ameritrade, Inc. no RAUM | Wainwright Investment Counsel LLC mixed wealth | Other | Jan 11, 2021 | Dec 23, 2021 (346 d) |
| Stephen Dalton Barrett | H.C.Wainwright & Co., LLC unclassified | Wainwright Investment Counsel LLC other | Other | Jul 15, 2003 | Aug 14, 1999 |
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3 moves match.