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 Capital Guardian Wealth Management, 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
Arturo Jesus Rodriguez Diaz	Riwm, LLC state registered	Capital Guardian Wealth Management, LLC other	Other	Dec 31, 2024	Dec 2, 2013
Paul Mark Zoch	Wells Fargo Advisors wirehouse	Capital Guardian Wealth Management, LLC other	Other	Sep 26, 2017	Dec 20, 2017 (85 d)
Luiz David Azambuja	Riwm, LLC state registered	Capital Guardian Wealth Management, LLC other	Other	Jun 28, 2017	Dec 5, 2014
Luiz David Xavier Azambuja	Riwm, LLC state registered	Capital Guardian Wealth Management, LLC other	Other	Jun 28, 2017	Aug 4, 2017 (37 d)
Michael Thomas Edwards	Riwm, LLC state registered	Capital Guardian Wealth Management, LLC other	Other	Jan 11, 2016	May 10, 2017 (485 d)
Michael John Gordon	Moors & Cabot, Inc other	Capital Guardian Wealth Management, LLC other	Other	Jul 14, 2014	Jul 8, 2014
Mary Kathleen Newhouse	Moors & Cabot, Inc other	Capital Guardian Wealth Management, LLC other	Other	Jul 14, 2014	Jul 8, 2014
Carlton Anthony Buckley	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Guardian Wealth Management, LLC other	Other	Nov 5, 2013	Nov 8, 2013
Eric James Glassbrenner	H. Beck, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Sep 25, 2013	Mar 18, 2014 (174 d)
Maxime Fleming Jean-Louis	Ameriprise Financial Services, LLC national BD	Capital Guardian Wealth Management, LLC other	Other	Apr 5, 2013	Apr 22, 2013
Robert Steven Weissbein	Nfsg Corporation other	Capital Guardian Wealth Management, LLC other	Other	Jan 2, 2013	Jan 31, 2013
Joe P. Moore	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Nov 20, 2012	Nov 15, 2012
Mark David Coffey	Capitol Securities Management, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Nov 19, 2012	Nov 19, 2012
Chikako Kashino	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Nov 19, 2012	Nov 26, 2012
Margaret Mary Reid	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Nov 19, 2012	Nov 16, 2012
Mark Teague	Wells Fargo Advisors wirehouse	Capital Guardian Wealth Management, LLC other	Other	Nov 19, 2012	Nov 16, 2012
Kenneth Wayne Miller	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Oct 9, 2012	Oct 5, 2012
Jason Darren Campbell	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Sep 10, 2012	Sep 11, 2012
Philip Charles Miller	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Sep 10, 2012	Sep 6, 2012
David Kitterman	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Aug 28, 2012	Aug 23, 2012
Thomas Hugh Curry	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Aug 28, 2012	Aug 21, 2012
Stephanie Anne Nilsen	Morgan Stanley wirehouse	Capital Guardian Wealth Management, LLC other	Other	Aug 16, 2012	Oct 2, 2012 (47 d)
Dianne Perry Odom	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jul 20, 2012	Jul 23, 2012
Scott Richard Werdebaugh	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jul 17, 2012	Jul 19, 2012
Christian Eliezer Urbina	Invest Financial Corporation other	Capital Guardian Wealth Management, LLC other	Other	Jul 13, 2012	Jul 16, 2012
James Patrick Lowry	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jun 29, 2012	Jun 21, 2012
Richard Darren Simons	Fortius Wealth Management LLC other	Capital Guardian Wealth Management, LLC other	Other	Jun 28, 2012	Jul 6, 2012
David Bart Hill	Fortius Wealth Management LLC other	Capital Guardian Wealth Management, LLC other	Other	Jun 28, 2012	Mar 25, 2013 (270 d)
Brian Ernest Chapman	Woodbury Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jun 22, 2012	Jun 14, 2012
Peter Tomlinson Roe	Circle One Wealth Management, LLC other	Capital Guardian Wealth Management, LLC other	Other	Mar 28, 2012	Jul 15, 2011
Frank Stuart Blackard	Circle One Wealth Management, LLC other	Capital Guardian Wealth Management, LLC other	Other	Mar 28, 2012	Jul 18, 2011
Richard David Peck	Circle One Wealth Management, LLC other	Capital Guardian Wealth Management, LLC other	Other	Mar 28, 2012	Aug 16, 2011
Jason Dewande Bell	Circle One Wealth Management, LLC other	Capital Guardian Wealth Management, LLC other	Other	Mar 28, 2012	Mar 12, 2013 (349 d)
Stephen Douglas Norton	Aegis Capital, LLC other	Capital Guardian Wealth Management, LLC other	Other	Mar 27, 2012	Jun 16, 2009
Reiko Y Powderly	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Guardian Wealth Management, LLC other	Other	Mar 20, 2012	Mar 21, 2012
Thomas Spessard Cain	Prospera Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jul 5, 2011	Jul 5, 2011
Matthew J Nielsen	Prospera Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Jul 5, 2011	Jul 1, 2011
Jonathan Adam Greene	Wells Fargo Advisors wirehouse	Capital Guardian Wealth Management, LLC other	Other	Mar 28, 2011	Mar 28, 2011
Daniel Evan Davis	Wells Fargo Advisors wirehouse	Capital Guardian Wealth Management, LLC other	Other	Jan 25, 2011	Jan 25, 2011
Mark Edward Rienerth	B Riley Wealth Management other	Capital Guardian Wealth Management, LLC other	Other	Dec 31, 2010	Feb 7, 2011 (38 d)
Carlos R Ferreira Lima	Bolton Global Asset Management other	Capital Guardian Wealth Management, LLC other	Other	Dec 31, 2010	Feb 18, 2011 (49 d)
Jason Thomas Mckernan	First Horizon Advisors, Inc other	Capital Guardian Wealth Management, LLC other	Other	Dec 7, 2010	Jan 26, 2011 (50 d)
Joseph Daniel Dahl	Securian Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Nov 4, 2010	Nov 3, 2010
Samuel Dean Turner	Anderson & Strudwick, Incorporated other	Capital Guardian Wealth Management, LLC other	Other	Nov 1, 2010	Oct 29, 2010
James Ball	Securian Financial Services, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Oct 14, 2010	Oct 22, 2010
Bob Palmer Hodges	Moors & Cabot, Inc other	Capital Guardian Wealth Management, LLC other	Other	Oct 13, 2010	Nov 1, 2010
Matthew Thomas Williams	Ameriprise Financial Services, LLC national BD	Capital Guardian Wealth Management, LLC other	Other	Oct 12, 2010	Jul 13, 2011 (274 d)
Dennis Roger Nolte	LPL Financial LLC other	Capital Guardian Wealth Management, LLC other	Other	Aug 31, 2010	Sep 3, 2010
Bernice Valrey Rolle-Lewis	Citigroup Global Markets Inc. other	Capital Guardian Wealth Management, LLC other	Other	May 26, 2010	Jun 4, 2010
Andrea Louise Swope	Morgan Stanley wirehouse	Capital Guardian Wealth Management, LLC other	Other	Apr 29, 2010	Apr 13, 2010
Frank Stephen Sparger	Gunnallen Financial, Inc unclassified	Capital Guardian Wealth Management, LLC other	Other	Mar 29, 2010	Apr 6, 2010
Alexander L Skabry	Edward Jones national BD	Capital Guardian Wealth Management, LLC other	Other	Mar 22, 2010	Mar 24, 2010
Bradley Vaughn Livingston	Advisors Asset Management, Inc. other	Capital Guardian Wealth Management, LLC other	Other	Mar 18, 2010	Jan 19, 2011 (307 d)
Matthew Scott Archer	Gunnallen Financial, Inc unclassified	Capital Guardian Wealth Management, LLC other	Other	Feb 25, 2010	Feb 17, 2010
Nina Moore Stibbs	Gunnallen Financial, Inc unclassified	Capital Guardian Wealth Management, LLC other	Other	Feb 10, 2010	Feb 17, 2010
Michael Scott Blanchard	Gunnallen Financial, Inc unclassified	Capital Guardian Wealth Management, LLC other	Other	Feb 2, 2010	Jan 20, 2010
Bryan Thomas Cassells	Morgan Stanley wirehouse	Capital Guardian Wealth Management, LLC other	Other	Dec 19, 2009	Dec 11, 2009
Alicia Del Valle Alvarez	Citigroup Global Markets Inc. other	Capital Guardian Wealth Management, LLC other	Other	Dec 17, 2009	Aug 12, 2010 (238 d)
Jeffrey Mark Eagle	Morgan Stanley wirehouse	Capital Guardian Wealth Management, LLC other	Other	Dec 1, 2009	Nov 6, 2009
Franklin Thomas Gutierrez	Citigroup Global Markets Inc. other	Capital Guardian Wealth Management, LLC other	Other	Oct 22, 2009	Mar 15, 2010 (144 d)

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81 moves match.