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 Wms Wealth Management 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 |
|---|---|---|---|---|---|
| Jason David Falk | Mutual Of Omaha Investor Services, Inc. independent RIA | Wms Wealth Management LLC state registered | RIA to a state-registered adviser | Dec 4, 2024 | Mar 26, 2025 (112 d) |
| Candace K Swayne | Sandlapper Wealth Management, LLC independent RIA | Wms Wealth Management LLC state registered | RIA to a state-registered adviser | Dec 31, 2020 | Dec 11, 2020 |
| William M Swayne | Sandlapper Wealth Management, LLC independent RIA | Wms Wealth Management LLC state registered | RIA to a state-registered adviser | Dec 31, 2020 | Sep 2, 2022 (610 d) |
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3 moves match.