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 Great Lakes Wealth, 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 |
|---|---|---|---|---|---|
| Gongju Baek | MML Investors Services, LLC BD affiliated | Great Lakes Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2022 | Feb 23, 2022 (49 d) |
| Thomas Allen Griffore | Citizens Securities, Inc. BD affiliated | Great Lakes Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2021 | Oct 1, 2021 |
| Joseph Charles Wilkinson | Edward Jones national BD | Great Lakes Wealth, LLC other | Other | Oct 6, 2020 | Oct 5, 2020 |
| Bruce Blase Palen | Ameriprise Financial Services, LLC national BD | Great Lakes Wealth, LLC other | Other | Aug 2, 2018 | Jul 21, 2018 |
| Thomas Delbert Whited | Scottrade Investment Management BD affiliated | Great Lakes Wealth, LLC other | Other | Mar 8, 2018 | Sep 18, 2018 (194 d) |
| Bartholomew Timothy-Dylan Mackler | Osaic Institutions, Inc. other | Great Lakes Wealth, LLC other | Other | Feb 15, 2018 | Mar 20, 2018 (33 d) |
| Dewey Deane Steffen | UBS Financial Services Inc. wirehouse | Great Lakes Wealth, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jul 12, 2016 | Jul 5, 2016 |
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7 moves match.