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 Cws Financial 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 |
|---|---|---|---|---|---|
| Regina N Spence | LPL Financial LLC BD affiliated | Cws Financial Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2021 | Jan 1, 2025 (1203 d) |
| Christine Louise Batts | M Holdings Securities, Inc. BD affiliated | Cws Financial Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2019 | Jun 25, 2019 (98 d) |
| Cory Dale Wietfeldt | Wells Fargo Advisors wirehouse | Cws Financial Advisors LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 19, 2018 | Jun 15, 2018 |
| Lindsey Erin Splendorio | Wells Fargo Advisors wirehouse | Cws Financial Advisors LLC independent RIA | Wirehouse to independent RIA | Jun 19, 2018 | Aug 26, 2026 (2990 d) |
| Joseph Paul Splendorio | Wells Fargo Advisors wirehouse | Cws Financial Advisors LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 19, 2018 | Jun 15, 2018 |
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5 moves match.