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 Sws 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.

AdvisorFromToTypeLeftRegistered
Louis Kin Shing LoCetera Advisors LLC BD affiliatedSws Advisors, Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 15, 2020Oct 18, 2020
Ralph James MartinezPrimesolutions Securities, Inc. unclassifiedSws Advisors, Inc. state registeredOtherNov 12, 2015Nov 25, 2015
Christopher A MartinezPrimesolutions Securities, Inc. unclassifiedSws Advisors, Inc. state registeredOtherNov 12, 2015Nov 25, 2015
Steven Michael TempleAmeritas Advisory Services otherSws Advisors, Inc. state registeredOtherJul 24, 2012Aug 7, 2012
Robert Vance BurnetteAmeritas Advisory Services otherSws Advisors, Inc. state registeredOtherMay 25, 2012May 31, 2012
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5 moves match.