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
Departures from Spectrum Financial Inc
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 |
|---|---|---|---|---|---|
| Ralph Edward Smith | Spectrum Financial Inc other | Qa3 Financial LLC unclassified | Other | Nov 11, 2009 | Jul 7, 2008 |
| Donald Brent Portell | Spectrum Financial Inc other | M Financial Services, Inc. unclassified | Other | Dec 31, 2005 | Aug 31, 1998 |
| Kirk Pacatte | Spectrum Financial Inc other | Nfp Advisor Services, LLC other | Other | Dec 31, 2005 | Feb 28, 2005 |
| David Wayne Bargetzi | Spectrum Financial Inc other | M Holdings Securities, Inc. other | Other | Dec 31, 2005 | Jun 5, 2003 |
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4 moves match.