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 Financial Security Advisory 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Glenn Scott Schwalje | Uhlmann Investment Management, L.L.C. independent RIA | Financial Security Advisory Inc independent RIA | RIA to RIA | Aug 25, 2023 | Jan 12, 2024 (140 d) |
| Tyler Elliott Neese | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Financial Security Advisory Inc independent RIA | Wirehouse to independent RIA | Jan 5, 2021 | Jan 6, 2021 |
| David Kent Prewette | Southeast Investments, N.C., Inc. state registered | Financial Security Advisory Inc other | Other | Dec 31, 2013 | Jan 9, 2014 |
| Dennis Gerald Stokley | Transamerica Financial Advisors, LLC other | Financial Security Advisory Inc other | Other | Aug 19, 2003 | Jul 31, 2008 (1808 d) |
| Mary Swanson Dillon | Dukes & Co Advisory, Inc. unclassified | Financial Security Advisory Inc other | Other | Jul 31, 2003 | Jul 31, 2003 |
| Enrique L. Tomeu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Financial Security Advisory Inc other | Other | Jun 6, 2002 | Jan 3, 2003 (211 d) |
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6 moves match.