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 Wilmington Capital Securities, 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
Jeremy DicksteinPraxia Financial Services, LLC independent RIAWilmington Capital Securities, LLC independent RIARIA to RIAFeb 27, 2020May 17, 2021 (445 d)
James Andrew MeansRBC Capital Markets, LLC national BDWilmington Capital Securities, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 12, 2019Jun 10, 2019
John Charles BarnesRBC Capital Markets, LLC national BDWilmington Capital Securities, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 24, 2019Oct 22, 2019 (181 d)
Dana Jerome JohnsonSantander Securities otherWilmington Capital Securities, LLC otherOtherSep 21, 2016Nov 25, 2016 (65 d)
John Sky GriffinHsbc Securities (USA) Inc. otherWilmington Capital Securities, LLC otherOtherAug 14, 2015Aug 19, 2015
David Edward AstorrCl Wealth Management LLC otherWilmington Capital Securities, LLC otherOtherDec 26, 2013Dec 16, 2015 (720 d)
Scott David LaskyComprehensive Capital Management, Inc. otherWilmington Capital Securities, LLC otherOtherFeb 9, 2010Aug 10, 2015 (2008 d)
Ronald Brett DorushkinClark Dodge & Co., Inc. unclassifiedWilmington Capital Securities, LLC otherOtherMar 11, 2008Jun 17, 2014 (2289 d)
Page 1 of 1
8 moves match.