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 Wells Fargo Investment Institute, 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
Robert Lee SchwartzFederated Investment Counseling institutionalWells Fargo Investment Institute, Inc. independent RIAOtherJun 9, 2026Jun 19, 2026
Elizabeth Ann SkettinoCullinan Associates, Inc. independent RIAWells Fargo Investment Institute, Inc. independent RIARIA to RIAMay 6, 2026May 8, 2026
Michael John PaoneRBC Capital Markets, LLC national BDWells Fargo Investment Institute, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 24, 2025Jan 28, 2026 (35 d)
Steven John MajorisAdvisors Asset Management, Inc. mixed wealthWells Fargo Investment Institute, Inc. independent RIARIA to RIANov 11, 2025Nov 17, 2025
Audrey MoranWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIASep 26, 2025Sep 12, 2025
Arsene BleWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIASep 10, 2025Sep 30, 2025
James Richard WebsterAdhesion Wealth Advisor Solutions asset managerWells Fargo Investment Institute, Inc. independent RIAOtherSep 20, 2024Oct 17, 2024
Brandon GrossWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIAFeb 13, 2024Aug 27, 2024 (196 d)
Jacob R WatsonAmeriprise Financial Services, LLC national BDWells Fargo Investment Institute, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 22, 2023Dec 7, 2023 (76 d)
Scott Brecher WarnerNuveen Asset Management, LLC otherWells Fargo Investment Institute, Inc. independent RIAOtherApr 13, 2023Nov 5, 2024 (572 d)
Joseph E BuffaWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIAJan 26, 2023Feb 27, 2023 (32 d)
Daniel Thomas MillerWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIAMar 24, 2022May 24, 2024 (792 d)
Daniel F MeehanWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIAMar 23, 2022May 16, 2023 (419 d)
Mary E HarrisWells Fargo Advisors wirehouseWells Fargo Investment Institute, Inc. independent RIAWirehouse to independent RIAMar 23, 2022Mar 14, 2024 (722 d)
Brock WeimerSlagle Financial, LLC. independent RIAWells Fargo Investment Institute, Inc. independent RIARIA to RIAOct 8, 2021Aug 18, 2022 (314 d)
Matthew Allen HopeOmnicap Group LLC institutionalWells Fargo Investment Institute, Inc. independent RIAOtherApr 12, 2021Dec 19, 2022 (616 d)
Troy SeilerAlphastar Capital Management independent RIAWells Fargo Investment Institute, Inc. independent RIARIA to RIAApr 9, 2020Mar 24, 2022 (714 d)
Wendy Ambrosius GrallPiper Sandler & Co. otherWells Fargo Investment Institute, Inc. otherOtherJun 8, 2017Nov 30, 2021 (1636 d)
Stephanie Wo RoncalNelson Capital Management otherWells Fargo Investment Institute, Inc. otherOtherDec 31, 2016Dec 4, 2021 (1799 d)
Nicholas Anton NegriniRBC Capital Markets, LLC national BDWells Fargo Investment Institute, Inc. otherOtherFeb 4, 2016Dec 15, 2021 (2141 d)
Daniel Kenny OconnellMorgan Stanley Dw Inc. unclassifiedWells Fargo Investment Institute, Inc. otherOtherMay 19, 2005Jan 6, 2022 (6076 d)
Benedict Chi-Hin WongUvest Financial Services Group, Inc. unclassifiedWells Fargo Investment Institute, Inc. otherOtherJun 18, 2004Dec 9, 2021 (6383 d)
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22 moves match.