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 Mutual Securities, 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
Gary Lyle PeveyWealth Design Group unclassifiedMutual Securities, Inc. otherOtherMay 7, 2019Apr 25, 2011
Robert Reed LindermanNorthwest Asset Management Corp unclassifiedMutual Securities, Inc. otherOtherFeb 3, 2016Dec 14, 2007
Sammy Kuo Chiang SungPoplar Global Wealth Management LLC otherMutual Securities, Inc. otherOtherNov 27, 2015Jan 15, 2013
Glenn Allan AndradeCapital Region Financial Group, LLC otherMutual Securities, Inc. otherOtherJan 31, 2013Dec 15, 2011
Steven Samuel WittenbergPlanmember Securities Corporation otherMutual Securities, Inc. otherOtherDec 31, 2012Jan 3, 2013
Dylan Daniel BrooksEquitable Advisors, LLC national BDMutual Securities, Inc. otherOtherNov 27, 2012Nov 16, 2012
Richard Benjamin LevinMorgan Stanley wirehouseMutual Securities, Inc. otherOtherApr 18, 2012Apr 5, 2012
T. Matt NicholsPrivate Wealth Advisors otherMutual Securities, Inc. otherOtherSep 28, 2011Jan 7, 2010
Zahid SadiqPlanmember Securities Corporation otherMutual Securities, Inc. otherOtherAug 26, 2011May 21, 2012 (269 d)
Aileen Kay BragaMorgan Stanley wirehouseMutual Securities, Inc. otherOtherMar 31, 2010Mar 23, 2010
Richard Spencer PetersonGunnallen Financial, Inc unclassifiedMutual Securities, Inc. otherOtherMar 30, 2010Apr 5, 2010
Richard Wayne PlamondonWedbush Securities Inc. otherMutual Securities, Inc. otherOtherDec 17, 2009Dec 17, 2009
Jeffry Jess JohnsonPmb Securities Corp. unclassifiedMutual Securities, Inc. otherOtherNov 13, 2009Nov 12, 2009
Patricia Elizabeth PhippsWells Fargo Advisors wirehouseMutual Securities, Inc. otherOtherSep 22, 2009Sep 9, 2009
James Craig ColemanCitigroup Global Markets Inc. otherMutual Securities, Inc. otherOtherFeb 10, 2009Jan 23, 2009
Bruce Steven TerryFirst Montauk Securities Corp. unclassifiedMutual Securities, Inc. otherOtherNov 25, 2008Nov 18, 2008
Martin Lee MazorraPrincipal Securities, Inc. otherMutual Securities, Inc. otherOtherDec 15, 2007Jan 7, 2010 (754 d)
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17 moves match.