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 Southwest Investment Advisors, 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 |
|---|---|---|---|---|---|
| John Robert Schannep | First Allied Advisory Services, Inc. BD affiliated | Southwest Investment Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 | Sep 19, 2018 |
| Alexandra Farquhar Kusler | First Allied Securities, Inc. other | Southwest Investment Advisors, Inc. independent RIA | Other | Jul 27, 2011 | Sep 28, 2011 (63 d) |
| Charles Richard Dunn | First Allied Securities, Inc. other | Southwest Investment Advisors, Inc. independent RIA | Other | Apr 7, 2011 | Dec 6, 2010 |
| Bradley James Lineberger | First Allied Securities, Inc. other | Southwest Investment Advisors, Inc. independent RIA | Other | Apr 7, 2011 | Jul 26, 2011 (110 d) |
| Roger Kent Stubbs | First Allied Securities, Inc. other | Southwest Investment Advisors, Inc. independent RIA | Other | Sep 9, 2009 | Oct 20, 2005 |
| Roger Kent Stubbs | Morgan Stanley Dw Inc. unclassified | Southwest Investment Advisors, Inc. independent RIA | Other | Feb 28, 2005 | Oct 20, 2005 (234 d) |
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6 moves match.