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 Wayfinding Financial, 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 |
|---|---|---|---|---|---|
| Cathie Jean Arthurs | Helium Advisors LLC independent RIA | Wayfinding Financial, LLC independent RIA | RIA to RIA | Dec 7, 2021 | Dec 8, 2021 |
| Arthur Jacob Winston | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wayfinding Financial, LLC independent RIA | Wirehouse to independent RIA | Apr 20, 2021 | May 7, 2021 |
| Craig Bennett Roth | Adams Financial Concepts, LLC independent RIA | Wayfinding Financial, LLC independent RIA | RIA to RIA | Mar 30, 2021 | Apr 1, 2021 |
| Trent J O'Neal | Wells Fargo Advisors wirehouse | Wayfinding Financial, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 18, 2020 | Feb 26, 2020 |
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4 moves match.