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 Commonwealth Financial 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 |
|---|---|---|---|---|---|
| Tyler Andrew Brautigan | Security Capital Management independent RIA | Commonwealth Financial Services independent RIA | RIA to RIA | Jul 24, 2024 | May 9, 2024 |
| Craig Kevin Seachrist | Arbor Point Advisors BD affiliated | Commonwealth Financial Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 5, 2023 | Aug 9, 2023 (35 d) |
| Michael Charles Seese | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 28, 2023 | Apr 11, 2023 |
| Julie Anne Vavra Daley | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 10, 2023 | Apr 11, 2023 |
| Nikki Von Lude | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 10, 2023 | Apr 11, 2023 |
| Daniel Lee Spurgeon | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 10, 2023 | Apr 11, 2023 |
| Neal Elliott Watson | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 | Apr 11, 2023 |
| Shanell Jeffrey | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 | Apr 14, 2023 |
| Brenda Lee Weekly | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 | Apr 14, 2023 |
| Bernard Vincent Mcmanus | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 | Apr 14, 2023 |
| Tyler Szafran | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 | Apr 14, 2023 |
| Derek Bailey | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 | Apr 14, 2023 |
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12 moves match.