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 Wambolt & Associates, 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 |
|---|---|---|---|---|---|
| Christopher John Frey | Advice And Planning Services BD affiliated | Wambolt & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2024 | Nov 15, 2024 |
| Shaun Michael Cavanagh | Charles Schwab & Co., Inc. national BD | Wambolt & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2022 | Jan 27, 2023 |
| Tyler Hentges | U.S. Bancorp Investments, Inc. BD affiliated | Wambolt & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2021 | Nov 4, 2021 |
| Janelle Rae Van Meel | Morgan Stanley wirehouse | Wambolt & Associates, LLC independent RIA | Wirehouse to independent RIA | Jul 23, 2020 | Aug 3, 2020 |
| Kelly Fraser | Centric Investment Group Inc independent RIA | Wambolt & Associates, LLC independent RIA | RIA to RIA | Dec 18, 2019 | Feb 22, 2019 |
| Giulia A Laplante | Centric Investment Group Inc independent RIA | Wambolt & Associates, LLC independent RIA | RIA to RIA | Dec 18, 2019 | Jul 10, 2019 |
| Matthew Robert Blake | My Portfolio Guide, LLC independent RIA | Wambolt & Associates, LLC other | Other | Mar 2, 2017 | Jan 19, 2017 |
| Ryan Charles Stout | Advice And Planning Services other | Wambolt & Associates, LLC other | Other | Oct 7, 2010 | Oct 7, 2010 |
| Gregory Alan Wambolt | Northwestern Mutual Investment Services,LLC other | Wambolt & Associates, LLC other | Other | Jun 8, 2010 | Jun 4, 2010 |
| Jack William Moore | Northwestern Mutual Wealth Management Company unclassified | Wambolt & Associates, LLC other | Other | Apr 30, 2007 | Jun 7, 2010 (1134 d) |
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10 moves match.