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 Lwi Financial 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
Michael David DemkoSiena Wealth Management, Inc. independent RIALwi Financial Inc. otherOtherNov 6, 2019Jan 10, 2011
Jonathan Joseph ScheidBellatore Financial, Inc. independent RIALwi Financial Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 28, 2018Jul 16, 2018
Sean C BrooksAssetmark, Inc. otherLwi Financial Inc. otherOtherJun 16, 2017Jul 5, 2017
William BlanchetteStrategic Advisers LLC national BDLwi Financial Inc. otherOtherMay 5, 2017Jun 22, 2017 (48 d)
Kyle David FelskeScottrade Investment Management otherLwi Financial Inc. otherOtherJan 17, 2017Jan 13, 2017
Roger Richard RoweUBS Financial Services Inc. wirehouseLwi Financial Inc. otherOtherDec 27, 2016Jan 6, 2017
Maurice Michael SeitterAlight Financial Advisors, LLC otherLwi Financial Inc. otherOtherJun 3, 2016Jun 17, 2016
Meredith Christian BroderickJ.P. Morgan Securities LLC wirehouseLwi Financial Inc. otherOtherOct 21, 2013Jan 7, 2014 (78 d)
Erich Karl ReinhardtRnp Advisory Services, Inc. otherLwi Financial Inc. otherOtherApr 22, 2013Dec 8, 2009
Sabrina RoshStrategic Advisers LLC national BDLwi Financial Inc. otherOtherSep 6, 2012Sep 13, 2012
Richard Weber GatesCetera Investment Advisers LLC otherLwi Financial Inc. otherOtherApr 2, 2012Apr 9, 2012
Angela Marie StoverRussell Investments otherLwi Financial Inc. otherOtherJan 3, 2012Jan 27, 2012
John Peter SchmickTriad otherLwi Financial Inc. otherOtherApr 28, 2011May 25, 2011
Katrina Larisa PeckAw Securities no RAUMLwi Financial Inc. otherOtherDec 31, 2010May 26, 2016 (1973 d)
Carl Scott LambLPL Financial LLC otherLwi Financial Inc. otherOtherDec 31, 2010Jan 27, 2011
Diana Gayle DornIndependent Advisers Group Corp otherLwi Financial Inc. otherOtherAug 30, 2010Oct 29, 2010 (60 d)
John Chistopher EmigTribeca Advisors, LLC unclassifiedLwi Financial Inc. otherOtherMay 11, 2010May 20, 2010
Dewayne Ray NelsonGeneos Wealth Management, Inc. otherLwi Financial Inc. otherOtherOct 14, 2009Nov 17, 2009 (34 d)
Jorge Andres Galeano1st Global Advisors Inc otherLwi Financial Inc. otherOtherJul 22, 2009Aug 24, 2009 (33 d)
Vincent Joseph CrivelloThe Strategic Financial Alliance otherLwi Financial Inc. otherOtherApr 7, 2009Mar 31, 2009
Mark Rudd FonvilleWells Fargo Advisors wirehouseLwi Financial Inc. otherOtherOct 26, 2007Oct 24, 2007
Mary Elizabeth MccrawFinancial Decisions, Inc. unclassifiedLwi Financial Inc. otherOtherNov 17, 2004Dec 7, 2004
Douglas Anthony JankowskiLoring Ward Capital Management Inc. unclassifiedLwi Financial Inc. otherOtherSep 30, 2004Sep 29, 2004
Mindy Beth TankelLoring Ward Capital Management Inc. unclassifiedLwi Financial Inc. otherOtherSep 30, 2004Sep 29, 2004
Seok JoLoring Ward Capital Management Inc. unclassifiedLwi Financial Inc. otherOtherSep 30, 2004Sep 29, 2004
Lana K BergsteinLoring Ward Capital Management Inc. unclassifiedLwi Financial Inc. otherOtherSep 30, 2004Sep 29, 2004
Jeffrey Byron WheelerLoring Ward Capital Management Inc. unclassifiedLwi Financial Inc. otherOtherSep 30, 2004Sep 30, 2004
Randolph Charles HardyLoring Ward Capital Management Inc. unclassifiedLwi Financial Inc. otherOtherSep 30, 2004Sep 29, 2004
Chi Fang WuCitigroup Global Markets Inc. otherLwi Financial Inc. otherOtherOct 24, 2003Oct 17, 2003
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29 moves match.