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 Wickham Financial & Insurance Services
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 |
|---|---|---|---|---|---|
| Jennifer Smalley | Thrivent Investment Management Inc. BD affiliated | Wickham Financial & Insurance Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 14, 2025 | Nov 6, 2025 (237 d) |
| Graham Stewart Wickham | Carter, Terry & Company, Inc. BD affiliated | Wickham Financial & Insurance Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 18, 2020 | Feb 21, 2020 |
| Michael B Beecher | Carter, Terry & Company, Inc. BD affiliated | Wickham Financial & Insurance Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 18, 2020 | Mar 5, 2020 |
Page 1 of 1
3 moves match.