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 Tradewinds Capital 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.

AdvisorFromToTypeLeftRegistered
Amy Nicole BrownVail Ridge Capital, LLC state registeredTradewinds Capital Management, LLC independent RIAOtherJul 8, 2024Aug 29, 2024 (52 d)
Christopher William LangSaturna Capital Corporation asset managerTradewinds Capital Management, LLC independent RIAOtherApr 26, 2023Aug 1, 2023 (97 d)
Azita L SimlerSaturna Capital Corporation asset managerTradewinds Capital Management, LLC independent RIAOtherNov 26, 2019Nov 19, 2019
Colin H GrayCharles Schwab & Co., Inc. national BDTradewinds Capital Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 2, 2019Mar 28, 2019
Daniel Alan LewisEdward Jones national BDTradewinds Capital Management, LLC otherOtherMay 13, 2015May 8, 2015
Mark Robert Gardner AndersonEdward Jones national BDTradewinds Capital Management, LLC otherOtherOct 22, 2012Oct 19, 2012
Donald Bradley PenceU.S. Bancorp Investments, Inc. otherTradewinds Capital Management, LLC independent RIAOtherJan 19, 2010Jan 10, 2024 (5104 d)
Kyle B JacksonEdward Jones national BDTradewinds Capital Management, LLC otherOtherMar 19, 2008Oct 31, 2008 (226 d)
Bryant James EngebretsonEdward Jones national BDTradewinds Capital Management, LLC otherOtherMar 18, 2008Mar 25, 2008
Page 1 of 1
9 moves match.