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 The Wharton Advisory Group, 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 |
|---|---|---|---|---|---|
| Steven Richard Montgomery | LPL Financial LLC other | The Wharton Advisory Group, LLC other | Other | Mar 27, 2013 | Sep 1, 2011 |
| Markku Taneli Happonen | Market Street Wealth Management other | The Wharton Advisory Group, LLC other | Other | Nov 28, 2012 | May 23, 2012 |
| David Louis Fitzgerald | Fsc Securities Corporation other | The Wharton Advisory Group, LLC other | Other | Aug 24, 2010 | Nov 6, 2002 |
| Jeffrey Mitchell Factor | Bfc Financial Services, LLC unclassified | The Wharton Advisory Group, LLC other | Other | Mar 31, 2005 | May 29, 2006 (424 d) |
| Winfield Ross Young | Charles Schwab & Co., Inc. national BD | The Wharton Advisory Group, LLC other | Other | Dec 17, 2002 | Nov 18, 2010 (2893 d) |
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5 moves match.