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 Applied Wealth Management
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 |
|---|---|---|---|---|---|
| Thomas Henry Stapleton | Principal Securities, Inc. BD affiliated | Applied Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 10, 2024 | Jul 26, 2024 |
| Selena Patrice Teasley | Park Avenue Securities LLC BD affiliated | Applied Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 2, 2022 | Oct 20, 2022 (48 d) |
| Dominik Yates | Park Avenue Securities LLC BD affiliated | Applied Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 15, 2022 | Aug 15, 2022 (31 d) |
| Ennis L Williams | Park Avenue Securities LLC BD affiliated | Applied Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 21, 2022 | Oct 31, 2022 (132 d) |
| Al J Doss-Carter | Park Avenue Securities LLC BD affiliated | Applied Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 24, 2022 | Apr 29, 2022 |
| Thea Nesis | Composition Wealth, LLC independent RIA | Applied Wealth Management state registered | RIA to a state-registered adviser | Sep 11, 2019 | Nov 17, 2022 (1163 d) |
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6 moves match.