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 Wealth Advisory Solutions, 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 |
|---|---|---|---|---|---|
| Kyle Edward Marburger | Gradient Wealth Management BD affiliated | Wealth Advisory Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2022 | Jun 27, 2022 |
| Steven Richard Smith | Wells Fargo Advisors wirehouse | Wealth Advisory Solutions, LLC independent RIA | Wirehouse to independent RIA | Nov 18, 2019 | Sep 30, 2019 |
| Johnelle Michael Smith | Wells Fargo Advisors wirehouse | Wealth Advisory Solutions, LLC independent RIA | Wirehouse to independent RIA | Nov 18, 2019 | Sep 28, 2019 |
| David Charles Hobbs | Charter Advisory Corporation independent RIA | Wealth Advisory Solutions, LLC independent RIA | RIA to RIA | Mar 11, 2019 | Mar 5, 2019 |
| Tyler Ray Needler | Canterbury Investment Management, LLC mixed wealth | Wealth Advisory Solutions, LLC no RAUM | Other | Feb 26, 2019 | Jul 27, 2017 |
| Brent Lee Emerick | Comprehensive Financial Planning Services Corp. unclassified | Wealth Advisory Solutions, LLC independent RIA | Other | Dec 31, 2017 | Feb 17, 2018 (48 d) |
| Ivy M Emerick | Comprehensive Financial Planning Services Corp. unclassified | Wealth Advisory Solutions, LLC independent RIA | Other | Dec 31, 2017 | Feb 17, 2018 (48 d) |
| Dino N Efthimiou | Morgan Stanley wirehouse | Wealth Advisory Solutions, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 6, 2017 | Nov 2, 2017 |
| Nicholas Gerald Christ Finnigan | Morgan Stanley wirehouse | Wealth Advisory Solutions, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 6, 2017 | Nov 2, 2017 |
| Katharine Booth Marvel | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Wealth Advisory Solutions, LLC no RAUM | Other | Oct 4, 2017 | Oct 4, 2017 |
| Elizabeth A Sturgeon | Morgan Stanley wirehouse | Wealth Advisory Solutions, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Aug 21, 2017 | Aug 17, 2017 |
| M Chet Warren | Morgan Stanley wirehouse | Wealth Advisory Solutions, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Aug 21, 2017 | Aug 17, 2017 |
Page 1 of 1
12 moves match.