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 The Dowling Group Wealth Management
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 |
|---|---|---|---|---|---|
| Carlton Edwin Anderson | Ameriprise Financial Services, LLC national BD | The Dowling Group Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2019 | Mar 31, 2020 (102 d) |
| William Joseph Ryan | Wjr Financial, LLC unclassified | The Dowling Group Wealth Management independent RIA | Other | Dec 11, 2018 | Feb 11, 2017 |
| Joseph Michael Dowling | The Dowling Group, Financial Counsellors unclassified | The Dowling Group Wealth Management independent RIA | Other | Jan 24, 2011 | Jan 4, 2011 |
| Sean Michael Dowling | The Dowling Group, Financial Counsellors unclassified | The Dowling Group Wealth Management independent RIA | Other | Jan 24, 2011 | Jan 4, 2011 |
| Michael Anthony Buccino | The Dowling Group, Financial Counsellors unclassified | The Dowling Group Wealth Management independent RIA | Other | Jan 24, 2011 | Jan 2, 2013 (709 d) |
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5 moves match.