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 Whalen Financial

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.

AdvisorFromToTypeLeftRegistered
Kim Thanh DangIndependent Financial Group, LLC BD affiliatedWhalen Financial independent RIAAffiliated broker-dealer or bank to independent RIAMay 1, 2026Jul 8, 2026 (68 d)
Di WuRfg Advisory, LLC independent RIAWhalen Financial independent RIARIA to RIASep 22, 2023Oct 26, 2023 (34 d)
Antonio Villanueva RiosFidelity Personal And Workplace Advisors BD affiliatedWhalen Financial independent RIAAffiliated broker-dealer or bank to independent RIAMay 23, 2023Jan 1, 2026 (954 d)
Ledawn GriesFisher Investments independent RIAWhalen Financial independent RIARIA to RIANov 15, 2022Mar 6, 2023 (111 d)
Carl David AschenbrennerHcr Wealth Advisors independent RIAWhalen Financial no RAUMRIA to a newly registered adviserJun 11, 2021Apr 9, 2021
Andrew Joseph WhalenLPL Financial LLC BD affiliatedWhalen Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 25, 2021Mar 2, 2021 (36 d)
Kim Thanh DangLPL Financial LLC BD affiliatedWhalen Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 25, 2021Mar 2, 2021 (36 d)
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7 moves match.