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 Whipplewood Advisors, 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 |
|---|---|---|---|---|---|
| Rodney Arin Becker | First Financial Equity Corporation BD affiliated | Whipplewood Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2020 | Oct 20, 2020 |
| Joseph Ernest Hubbard | First Financial Equity Corporation BD affiliated | Whipplewood Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2020 | Feb 3, 2020 |
| Ronald David New | Moreton Asset Management, LLC institutional | Whipplewood Advisors, LLC independent RIA | Other | Nov 26, 2019 | Jul 26, 2022 (973 d) |
| Richard Jay Whipple | First Financial Equity Corporation other | Whipplewood Advisors, LLC independent RIA | Other | Feb 5, 2016 | Aug 9, 2016 (186 d) |
| Mona Lynn Feeley | First Financial Equity Corporation other | Whipplewood Advisors, LLC independent RIA | Other | Feb 5, 2016 | Jun 2, 2016 (118 d) |
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5 moves match.