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 World Advisory Services

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
Marion Grace CuffFsc Securities Corporation BD affiliatedWorld Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 13, 2022Dec 14, 2022
Damien R BerubeGarden State Investment Advisory Services, LLC independent RIAWorld Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankNov 26, 2021Dec 10, 2021
Patrick Joseph ParrinoEquitable Advisors, LLC national BDWorld Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherNov 10, 2021Dec 10, 2021
Christopher CvitanMML Investors Services, LLC BD affiliatedWorld Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2020Dec 4, 2020
Charles ChiuAvantax Advisory Services otherWorld Advisory Services otherOtherJun 5, 2015Jul 30, 2015 (55 d)
Ian Joseph TollefsenNew England Securities Corporation otherWorld Advisory Services otherOtherAug 1, 2014Sep 16, 2014 (46 d)
Anatoly KhaitFirst Allied Advisory Services, Inc. otherWorld Advisory Services otherOtherFeb 11, 2014Feb 12, 2014
Alan Charles GottlobMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWorld Advisory Services otherOtherJul 5, 2013Jul 16, 2013
Steven Edward HackerOsaic Wealth, Inc. otherWorld Advisory Services otherOtherMay 13, 2013May 10, 2013
Douglas J BauerbandSagepoint Financial, Inc. otherWorld Advisory Services otherOtherJun 28, 2012Jun 27, 2012
Janis Lynn Waldman-CooperWells Fargo Advisors wirehouseWorld Advisory Services otherOtherMar 6, 2012Mar 6, 2012
Jonathan I KhalavskyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWorld Advisory Services otherOtherMar 5, 2012Mar 14, 2012
Daniel Owen BarsnicaAmeriprise Financial Services, LLC national BDWorld Advisory Services otherOtherDec 20, 2011Mar 20, 2012 (91 d)
Joseph John GormleyCincinnati Analysts, Inc otherWorld Advisory Services otherOtherNov 15, 2011Dec 22, 2011 (37 d)
Richard Michael CurcioCitizens Securities, Inc. otherWorld Advisory Services otherOtherAug 17, 2011Jan 19, 2012 (155 d)
Scott Martin BreskyJ P Turner & Company Capital Management, LLC otherWorld Advisory Services otherOtherAug 16, 2011Aug 17, 2011
William Gerard TuckerAmeritas Advisory Services otherWorld Advisory Services otherOtherMay 27, 2010May 3, 2010
Jeffrey Mark JaskolAmeritas Advisory Services otherWorld Advisory Services otherOtherMay 11, 2010Apr 29, 2010
Dean Michael SpearAmeritas Advisory Services otherWorld Advisory Services otherOtherMay 5, 2010Apr 29, 2010
Jacob RiloffKeystone Asset Advisors, L.P. unclassifiedWorld Advisory Services otherOtherApr 12, 2010Jan 17, 2012 (645 d)
Bryan Jeffrey KoslowAmpex Capital, LLC unclassifiedWorld Advisory Services otherOtherFeb 3, 2010Apr 1, 2009
Keith M ChasenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseWorld Advisory Services otherOtherApr 22, 2008Apr 21, 2008
Michele A HealeyJanney Montgomery Scott LLC otherWorld Advisory Services otherOtherOct 17, 2007Apr 24, 2009 (555 d)
Michael Anthony PerilloTd Wealth Management Services Inc. unclassifiedWorld Advisory Services otherOtherAug 17, 2007Jul 30, 2009 (713 d)
Louis Nicholas MancinelliYour Money Matters Brokerage Services, Inc. unclassifiedWorld Advisory Services otherOtherFeb 7, 2007Oct 17, 2007 (252 d)
Sean Patrick LoreIfmg Securities, Inc. unclassifiedWorld Advisory Services otherOtherJun 22, 2006Jul 3, 2006
Steven MorganPgim Investments LLC otherWorld Advisory Services otherOtherDec 7, 2004Aug 11, 2010 (2073 d)
Pankaj Tulsidas DayalMorgan Stanley Dw Inc. unclassifiedWorld Advisory Services otherOtherNov 2, 2004Apr 27, 2012 (2733 d)
Frank Wilhelm KapitzaC.J.M. Asset Management, LLC unclassifiedWorld Advisory Services otherOtherJan 14, 2004Aug 8, 2006 (937 d)
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29 moves match.