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 Swbc Investment Company

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
Cameron Richard KnightVictory Capital Management Inc. asset managerSwbc Investment Company independent RIAOtherAug 12, 2026Aug 21, 2026
Thomas Leslie SherwoodAdvisors Asset Management, Inc. mixed wealthSwbc Investment Company independent RIARIA to RIAJan 8, 2026Jan 6, 2026
Christopher Robert DewlenAdvisors Asset Management, Inc. otherSwbc Investment Company independent RIAOtherApr 4, 2025Sep 9, 2025 (158 d)
Michael Anthony WaltersTeamwork Financial Advisors, LLC independent RIASwbc Investment Company mixed wealthRIA to RIAJul 17, 2024Jul 9, 2024
Corey Michael MowenTruist Advisory Services, Inc. BD affiliatedSwbc Investment Company mixed wealthAffiliated broker-dealer or bank to independent RIAOct 10, 2023Nov 16, 2023 (37 d)
Dorian J TownsendAmeriprise Financial Services, LLC national BDSwbc Investment Company independent RIAAffiliated broker-dealer or bank to independent RIASep 20, 2021Sep 21, 2021
Jorge Eduardo CantuVictory Capital Management Inc. asset managerSwbc Investment Company independent RIAOtherJun 18, 2021Sep 21, 2021 (95 d)
Alejandro G IretaPax Financial Group independent RIASwbc Investment Company mixed wealthRIA to RIAFeb 10, 2021Jul 17, 2020
Alejandro Manuel SierraMoney Concepts Advisory Service BD affiliatedSwbc Investment Company independent RIAAffiliated broker-dealer or bank to independent RIAJun 18, 2019Jun 19, 2019
Jamie Lynn WisecarverAdvisors Asset Management, Inc. mixed wealthSwbc Investment Company independent RIARIA to RIAMay 21, 2019May 21, 2019
James Eric InmanAmeriprise Financial Services, LLC national BDSwbc Investment Company independent RIAAffiliated broker-dealer or bank to independent RIAJan 10, 2019May 21, 2019 (131 d)
Roberto W RoffoBraintree Capital Partners, LLC unclassifiedSwbc Investment Company mixed wealthOtherJul 3, 2018Dec 14, 2020 (895 d)
Jennifer RobbinsCapital One Advisors, LLC BD affiliatedSwbc Investment Company independent RIAAffiliated broker-dealer or bank to independent RIAMay 3, 2018Jun 5, 2018 (33 d)
David Wayne MatthewsCuna Brokerage Services, Inc. otherSwbc Investment Company otherOtherAug 22, 2017Aug 24, 2017
Lauren Marie DaltonPnc Wealth Management otherSwbc Investment Company otherOtherMay 2, 2017Dec 7, 2017 (219 d)
Jason Eric StepanikClearbridge Investments, LLC otherSwbc Investment Company otherOtherApr 4, 2017Jul 13, 2017 (100 d)
Michael James KlorerTlwm Financial otherSwbc Investment Company otherOtherJan 3, 2017Aug 24, 2017 (233 d)
Shannon TaylorKestra Advisory Services, LLC otherSwbc Investment Company otherOtherOct 21, 2016Jan 25, 2017 (96 d)
Andrew Robert SeaboughHancock Whitney Investment Services Inc. otherSwbc Investment Company otherOtherSep 23, 2016Sep 26, 2016
Candace J BurkettInvestment Professionals, Inc. otherSwbc Investment Company otherOtherFeb 16, 2016May 20, 2016 (94 d)
William R DavisAvantax Advisory Services otherSwbc Investment Company otherOtherOct 2, 2015Sep 24, 2015
Sean Patrick TuohyAdvisors Asset Management, Inc. otherSwbc Investment Company otherOtherAug 18, 2015Aug 3, 2015
Ryan Garrett RiffeAdvisors Asset Management, Inc. otherSwbc Investment Company otherOtherAug 18, 2015Aug 17, 2015
Kurt Von BuettnerUsaa Financial Planning Services no RAUMSwbc Investment Company otherOtherMay 8, 2015May 12, 2015
Paul Kenneth MarshallAdvisors Asset Management, Inc. otherSwbc Investment Company otherOtherFeb 26, 2015Feb 19, 2015
Jorge Phillips CazarezEdward Jones national BDSwbc Investment Company otherOtherJan 6, 2015Jan 5, 2015
Sylvester Tyrone JohnsonMorgan Stanley wirehouseSwbc Investment Company otherOtherSep 26, 2014Sep 16, 2014
Kathryne Elaine MickenUsaa Financial Planning Services no RAUMSwbc Investment Company otherOtherJul 11, 2014Oct 2, 2014 (83 d)
Cesar Emilio OlivaresCharles Schwab & Co., Inc. national BDSwbc Investment Company otherOtherJun 26, 2014Sep 4, 2014 (70 d)
George TorruellaEdward Jones national BDSwbc Investment Company otherOtherMay 30, 2014Jun 4, 2014
Gilbert CastilloUsaa Financial Planning Services no RAUMSwbc Investment Company otherOtherApr 8, 2014Mar 26, 2014
Kevin Thomas CorriganCharles Schwab & Co., Inc. national BDSwbc Investment Company otherOtherMar 11, 2014Mar 21, 2014
Richard Leon ViningVining Leonard Group, LLC unclassifiedSwbc Investment Company otherOtherJan 30, 2014Jul 11, 2013
Ryan Thomas CleavelandVoya Financial Advisors, Inc. otherSwbc Investment Company otherOtherJan 2, 2014Jan 2, 2014
Christopher C. ElbrechtAdvisors Asset Management, Inc. otherSwbc Investment Company otherOtherOct 22, 2013Oct 22, 2013
Joan Higgins ClevelandPruco Securities, LLC otherSwbc Investment Company otherOtherMar 20, 2013Apr 1, 2013
Sarita Christine NullEdward Jones national BDSwbc Investment Company otherOtherAug 16, 2012Aug 17, 2012
Jorge Antonio VazquezWells Fargo Advisors wirehouseSwbc Investment Company otherOtherMay 15, 2012Jun 13, 2012
James Edward MillerM&T Securities, Inc. unclassifiedSwbc Investment Company otherOtherJan 24, 2012Feb 23, 2012
David M RiceMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSwbc Investment Company otherOtherJan 3, 2012May 7, 2013 (490 d)
Rene RamirezChase Investment Services Corp. otherSwbc Investment Company otherOtherDec 22, 2011Jan 9, 2012
Kenneth E ToopsWells Fargo Advisors wirehouseSwbc Investment Company otherOtherJul 11, 2011Jul 11, 2011
Mark Edward TravisMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSwbc Investment Company otherOtherJun 16, 2011Jun 15, 2011
Daniel EspinozaChase Investment Services Corp. otherSwbc Investment Company otherOtherJun 2, 2011Jun 1, 2011
Joshua B LynchMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSwbc Investment Company otherOtherJun 1, 2011Jun 15, 2011
Joseph Evans DewhartEdward Jones national BDSwbc Investment Company otherOtherJan 6, 2011Jan 4, 2011
Nathan Joel SharpCharles Schwab & Co., Inc. national BDSwbc Investment Company otherOtherOct 13, 2010May 25, 2011 (224 d)
Marcel Stephen TheriotTri-Star Advisors, Inc. otherSwbc Investment Company otherOtherAug 3, 2010Aug 24, 2010
Bradley David FergusonStancorp Investment Advisers, Inc. otherSwbc Investment Company otherOtherAug 2, 2010Aug 25, 2010
Lisa Marie AlvaradoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSwbc Investment Company otherOtherMar 24, 2010Mar 31, 2010
David EspinozaLPL Financial LLC otherSwbc Investment Company otherOtherMar 16, 2010Feb 17, 2010
James Ray TindallAbshier Webb Donnelly & Baker, Inc. unclassifiedSwbc Investment Company otherOtherMar 9, 2010Mar 4, 2010
Brian Anthony MarchioriAdvisors Asset Management, Inc. otherSwbc Investment Company otherOtherMar 3, 2010Feb 23, 2010
Thomas Lyonel DavilaChase Investment Services Corp. otherSwbc Investment Company otherOtherFeb 22, 2010Feb 23, 2010
Eric Gerald HebertChase Investment Services Corp. otherSwbc Investment Company otherOtherFeb 2, 2010Aug 30, 2011 (574 d)
Elizabeth Ann FollandAdvisors Asset Management, Inc. otherSwbc Investment Company otherOtherJan 14, 2010Jan 14, 2010
Jessica Lauren MccordInvestment Professionals, Inc. otherSwbc Investment Company otherOtherDec 2, 2009Jan 11, 2010 (40 d)
Phyllis Ann AchorNfp Advisor Services, LLC otherSwbc Investment Company otherOtherNov 6, 2009Aug 28, 2009
James Wesley BrandtNfp Advisor Services, LLC otherSwbc Investment Company otherOtherAug 27, 2009Aug 28, 2009
Audrey Lynn PoolNfp Advisor Services, LLC otherSwbc Investment Company otherOtherAug 27, 2009Aug 28, 2009
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81 moves match.