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 Financial West Group

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
Dawn-Dyanna Dhyanna	The Social Equity Group, Inc. other	Financial West Group other	Other	Dec 23, 2025	Dec 9, 2003
Donald Michael Bizub	Western International Securities BD affiliated	Financial West Group other	Other	May 22, 2023	Feb 2, 2005
Steven Everett Hoppel	Kelsey Financial, LLC unclassified	Financial West Group other	Other	Aug 1, 2021	Dec 8, 2015
Thomas Krueger	Alyssum Benefits LLC unclassified	Financial West Group other	Other	Apr 5, 2017	Jun 19, 2014
Michael K De Luz	Cl Wealth Management LLC other	Financial West Group other	Other	Oct 31, 2016	Feb 2, 2017 (94 d)
Alison Amber Wilson	Morgan Stanley wirehouse	Financial West Group other	Other	Oct 12, 2016	Oct 5, 2016
Theresa Timmerman	Osaic Institutions, Inc. other	Financial West Group other	Other	Nov 13, 2015	Jan 26, 2016 (74 d)
Helen Hsi-Shan Lin	First Brokerage America, L.L.C. unclassified	Financial West Group other	Other	Sep 26, 2015	Sep 23, 2015
Martin John Scalzo	Arque Capital, Ltd. unclassified	Financial West Group other	Other	Jun 26, 2015	Jun 2, 2015
Peter George Pecci	Vertical Capital Asset Management, LLC other	Financial West Group other	Other	May 19, 2015	Jun 2, 2015
Brian William Grogan	Cl Wealth Management LLC other	Financial West Group other	Other	Nov 6, 2014	Oct 15, 2014
Scott Lawrence Olson	Sb Advisory, LLC other	Financial West Group other	Other	Oct 13, 2014	Mar 9, 2016 (513 d)
Bryan Edgar Brumley	Edward Jones national BD	Financial West Group other	Other	Sep 8, 2014	Sep 5, 2014
Peter Martin Garelick	LPL Financial LLC other	Financial West Group other	Other	Aug 4, 2014	Jan 5, 2015 (154 d)
Jason Eric Luhan	Centaurus Financial, Inc. other	Financial West Group other	Other	Jul 16, 2014	Jul 17, 2014
Odalis Mercedes Lopez	Centaurus Financial, Inc. other	Financial West Group other	Other	Jul 9, 2014	Jul 17, 2014
Joseph Webb	Centaurus Financial, Inc. other	Financial West Group other	Other	Jul 9, 2014	Jun 11, 2014
Joanna Dawn Mccomsey	American Financial Network Advisory Services, LLC other	Financial West Group other	Other	May 30, 2014	Jun 3, 2014
Jingbo Pan	Berthel Fisher & Company Financial Services, Inc. other	Financial West Group other	Other	Dec 20, 2013	Apr 8, 2014 (109 d)
Terry Tin Sing Tang	Newport Coast Asset Management other	Financial West Group other	Other	Nov 26, 2013	Nov 25, 2013
Robert James Stapleton	Td Ameritrade, Inc. no RAUM	Financial West Group other	Other	Nov 5, 2013	Nov 8, 2013
Allen Michael Bynum	LPL Financial LLC other	Financial West Group other	Other	Mar 5, 2013	Dec 26, 2013 (296 d)
Barton James Brewer	Ades Investment Counsel, Inc. state registered	Financial West Group other	Other	Jan 31, 2013	Dec 20, 2012
Brian Harry Schwartz	Ameriprise Financial Services, LLC national BD	Financial West Group other	Other	Nov 19, 2012	Jan 10, 2013 (52 d)
Sheri A Strain	First Command Financial Planning, Inc. other	Financial West Group other	Other	Sep 11, 2012	Nov 1, 2012 (51 d)
Evelyn Kay Duka	Global Financial Private Capital, Inc. other	Financial West Group other	Other	Jun 29, 2012	Jan 18, 2013 (203 d)
Susan Carol Agiert	Ameriprise Financial Services, LLC national BD	Financial West Group other	Other	May 17, 2012	Jun 3, 2013 (382 d)
Christina Lynn Bush	Torrey Pines Securities, Inc. unclassified	Financial West Group other	Other	Nov 21, 2011	Nov 18, 2011
Jason Roberts Coles	Torrey Pines Securities, Inc. unclassified	Financial West Group other	Other	Nov 21, 2011	Nov 18, 2011
Patricia Margaret Kappen	Torrey Pines Securities, Inc. unclassified	Financial West Group other	Other	Nov 21, 2011	Nov 17, 2011
Daniel Chung Lim Lee	Torrey Pines Securities, Inc. unclassified	Financial West Group other	Other	Nov 21, 2011	Nov 17, 2011
John Carter Forbes	Torrey Pines Securities, Inc. unclassified	Financial West Group other	Other	Nov 21, 2011	Nov 18, 2011
Lyndon Alphonso Grey	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Financial West Group other	Other	Oct 11, 2011	Sep 30, 2011
Timothy James Rich	Portfolio Resources Advisor Group, Inc. other	Financial West Group other	Other	Jul 14, 2011	Jul 13, 2011
Jeremy A Pearce	Wells Fargo Advisors wirehouse	Financial West Group other	Other	Dec 9, 2010	Jan 11, 2011 (33 d)
Andrea Steiner	Equitable Advisors, LLC national BD	Financial West Group other	Other	Oct 12, 2010	Oct 6, 2010
Robert B Wellendorf	Nfp Advisor Services, LLC other	Financial West Group other	Other	Sep 13, 2010	Oct 1, 2010
Ali Sotoodeh Rad	Oppenheimer & Co. Inc. other	Financial West Group other	Other	Jun 18, 2010	Jun 1, 2010
Alexander Joseph Corriere	First Command Financial Planning, Inc. other	Financial West Group other	Other	Jan 28, 2010	Feb 4, 2010
Franklin Fernandez	U.S. Bancorp Advisors, LLC other	Financial West Group other	Other	Mar 2, 2009	Mar 13, 2009
Sandy Rita Mesa	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Financial West Group other	Other	Feb 18, 2009	Feb 17, 2009
Judith Angela Zeigler	Concourse Financial Group Advisors other	Financial West Group other	Other	Dec 31, 2008	Jan 5, 2009
Kiak X Tae	Fsc Securities Corporation other	Financial West Group other	Other	Dec 15, 2008	Dec 11, 2008
Steven Lowell Smith	Edward Jones national BD	Financial West Group other	Other	Dec 5, 2008	Mar 10, 2009 (95 d)
Daniel Welburn Crane	RBC Capital Markets, LLC national BD	Financial West Group other	Other	Dec 4, 2008	Dec 2, 2008
Ellen Kathia Shearin	Afa Advisor Services LLC unclassified	Financial West Group other	Other	Aug 1, 2008	Aug 6, 2008
Nicholas Joseph Shea	Transamerica Financial Advisors, LLC other	Financial West Group other	Other	Jun 10, 2008	Jun 9, 2010 (729 d)
Evan Finnell Cole	Fsc Securities Corporation other	Financial West Group other	Other	Jan 28, 2008	Sep 30, 2008 (246 d)
Krikor Demirjian	LPL Financial LLC other	Financial West Group other	Other	Oct 24, 2007	Feb 19, 2008 (118 d)
Jeffrey Rushworth Hill	Brookstreet Securities Corporation unclassified	Financial West Group other	Other	Jul 18, 2007	Jul 18, 2007
Dennis Michael Magaldi	Morgan Stanley & Co. LLC unclassified	Financial West Group other	Other	Jul 17, 2007	Jul 25, 2007
Gregory Patrick Klingler	Fsc Securities Corporation other	Financial West Group other	Other	Jul 12, 2007	Oct 27, 2008 (473 d)
Thomas Francis Ray	Brookstreet Securities Corporation unclassified	Financial West Group other	Other	Jun 29, 2007	Jun 28, 2007
Andrew Joseph Schexnaydre	Brookstreet Securities Corporation unclassified	Financial West Group other	Other	Jun 29, 2007	Jun 28, 2007
Dennis John Deyoung	Brookstreet Securities Corporation unclassified	Financial West Group other	Other	Jun 27, 2007	Oct 27, 2008 (488 d)
Kumbirai Vincent Mtunga	Brookstreet Securities Corporation unclassified	Financial West Group other	Other	Jun 22, 2007	Oct 27, 2008 (493 d)
Gal Gali Horev	Spc other	Financial West Group other	Other	Mar 30, 2007	Oct 16, 2008 (566 d)
Shane Patrick Brosnan	Independent Advisers Group Corp other	Financial West Group other	Other	Feb 14, 2007	Sep 19, 2003
Nickalus Christopher Ketcham	Msi Financial Services, Inc. other	Financial West Group other	Other	Nov 10, 2006	Nov 13, 2006
Garrett Loren Sabin	Morgan Stanley Dw Inc. unclassified	Financial West Group other	Other	Jul 18, 2006	Jul 10, 2006

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92 moves match.