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 Wellington Wealth Strategies, 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 |
|---|---|---|---|---|---|
| Michael Chandler Shively | The Wellington Grp LLC independent RIA | Wellington Wealth Strategies, LLC independent RIA | RIA to RIA | Apr 18, 2025 | Jan 3, 2025 |
| Nicholas Bela Prokai | Park Avenue Securities LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2023 | Sep 1, 2023 |
| Anthony J Bonanno | Park Avenue Securities LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2023 | Sep 1, 2023 |
| Thomas L Cates | Park Avenue Securities LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2023 | Sep 1, 2023 |
| Nathaniel John Miller | Park Avenue Securities LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2023 | Sep 1, 2023 |
| Maxwell T Moritz | Park Avenue Securities LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2023 | Sep 1, 2023 |
| Michael Chandler Shively | Park Avenue Securities LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2023 | Sep 1, 2023 |
| Andrew James Cornell | UBS Financial Services Inc. wirehouse | Wellington Wealth Strategies, LLC independent RIA | Wirehouse to independent RIA | Aug 11, 2023 | Aug 16, 2023 |
| John Glander | Northwestern Mutual Investment Services,LLC no RAUM | Wellington Wealth Strategies, LLC independent RIA | Other | Aug 26, 2021 | Aug 18, 2021 |
| Ross Joseph Douglas Gaddy | MML Investors Services, LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2021 | Jan 8, 2021 |
| Gregory Thomas Freeman | MML Investors Services, LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2019 | Nov 19, 2019 (64 d) |
| Joseph Thomas Hillman | MML Investors Services, LLC BD affiliated | Wellington Wealth Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2019 | Nov 26, 2019 (74 d) |
Page 1 of 1
12 moves match.