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 New England Guild Wealth Advisors, 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 |
|---|---|---|---|---|---|
| Brendan Francis Fitzgerald | New England Guild Wealth Advisors, Inc. independent RIA | Connecticut Wealth Management, LLC independent RIA | RIA to RIA | Dec 31, 2022 | Feb 8, 2023 (39 d) |
| William Robert Pfeiffer | New England Guild Wealth Advisors, Inc. independent RIA | Ridgepoint Wealth Advisors LLC state registered | RIA to a state-registered adviser | Dec 31, 2022 | Feb 23, 2023 (54 d) |
| Alexander Robert Romejko | New England Guild Wealth Advisors, Inc. independent RIA | Connecticut Wealth Management, LLC independent RIA | RIA to RIA | Dec 31, 2022 | Feb 7, 2023 (38 d) |
| Harold Lilburn Rives | New England Guild Wealth Advisors, Inc. independent RIA | Ohanesian / Lecours, Inc. independent RIA | RIA to RIA | May 2, 2018 | Apr 1, 2018 |
| James Lawrence Liddy | New England Guild Wealth Advisors, Inc. other | Alvista Wealth Consulting, LLC state registered | Other | Nov 23, 2011 | Oct 18, 2019 (2886 d) |
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5 moves match.