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 Ancora Private Wealth Advisors, 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.

AdvisorFromToTypeLeftRegistered
Lisa RosenthalMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAncora Private Wealth Advisors, LLC independent RIAWirehouse to independent RIADec 5, 2023Mar 5, 2024 (91 d)
Ryan BartelsFidelity Personal And Workplace Advisors BD affiliatedAncora Private Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 6, 2022Sep 12, 2022
Gregory William HopkinsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAncora Private Wealth Advisors, LLC independent RIAWirehouse to independent RIAJan 23, 2020Feb 12, 2020
David Gerard SowerbyLoomis, Sayles & Company, L.P. otherAncora Private Wealth Advisors, LLC independent RIAOtherAug 28, 2019Feb 24, 2026 (2372 d)
Kevin Joseph KaleWealthstone Advisors independent RIAAncora Private Wealth Advisors, LLC independent RIARIA to RIAFeb 1, 2019Oct 14, 2020 (621 d)
John Gregory BartelsFirst Allied Securities, Inc. no RAUMAncora Private Wealth Advisors, LLC otherOtherDec 31, 2012Jun 16, 2011
Glenn Scott SearlesFirst Allied Securities, Inc. otherAncora Private Wealth Advisors, LLC otherOtherJul 2, 2012Sep 13, 2011
Matthew Eric GordilloFirst Allied Securities, Inc. otherAncora Private Wealth Advisors, LLC otherOtherJul 2, 2012Jun 27, 2011
Kenneth Paul ButzeUnited Planners' Financial Services Of America A Limited Partner otherAncora Private Wealth Advisors, LLC otherOtherMay 24, 2012May 31, 2012
Thomas Jerard KennedyFirst Allied Securities, Inc. otherAncora Private Wealth Advisors, LLC otherOtherFeb 22, 2010Jun 24, 2011 (487 d)
Paul Thompson MccormackUBS Financial Services Inc. wirehouseAncora Private Wealth Advisors, LLC otherOtherDec 21, 2009Jan 19, 2010
Molly Bernet BalunekSpero-Smith Investment Advisers, Inc. otherAncora Private Wealth Advisors, LLC otherOtherJul 28, 2009Aug 10, 2009
Jeffrey Charles Van FossenNorthern Trust Bank Fsb unclassifiedAncora Private Wealth Advisors, LLC otherOtherDec 7, 2006May 30, 2006
Richard Beck RennerWells Fargo Advisors wirehouseAncora Private Wealth Advisors, LLC otherOtherDec 12, 2002Feb 4, 2003 (54 d)
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14 moves match.