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 Pgim, 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 |
|---|---|---|---|---|---|
| Steven Daniel Raab | Pgim, Inc. other | Bny Mellon Securities Corporation other | Other | Nov 7, 2007 | Feb 5, 2008 (90 d) |
| Ivan Joshua Weiner | Pgim, Inc. other | Pgim Investments LLC other | Other | Dec 17, 2004 | Oct 8, 2004 |
| Katie Gitlin Ward | Pgim, Inc. other | Pgim Investments LLC other | Other | Dec 17, 2004 | Nov 29, 2004 |
| Linda Ann Marschke | Pgim, Inc. other | Pgim Investments LLC other | Other | Jul 12, 2004 | Jul 9, 2004 |
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4 moves match.