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 Investor Solutions
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 |
|---|---|---|---|---|---|
| Richard James Feldman | Investor Solutions independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2021 | Oct 26, 2021 |
| John Joseph Pitlosh | Investor Solutions independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2021 | Oct 26, 2021 |
| Robert Gordon | Investor Solutions independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2021 | Oct 26, 2021 |
| Brett C Fingerhut | Investor Solutions independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2021 | Oct 26, 2021 |
| Louis Feldman | Investor Solutions independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2021 | Oct 27, 2021 |
| Francis Charles Armstrong | Investor Solutions independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2021 | Oct 26, 2021 |
| Alan Jason Whitby | Investor Solutions independent RIA | Stone Summit Wealth LLC independent RIA | RIA to RIA | Jun 23, 2021 | Jun 29, 2021 |
| Brian Patrick Thornton | Investor Solutions other | Principal Securities, Inc. other | Other | Aug 5, 2008 | Aug 8, 2008 |
| Catherina Marlene Pareto | Investor Solutions other | Azzendo Wealth Advisors other | Other | Feb 1, 2008 | Apr 9, 2010 (798 d) |
| Gwenaelle Romain | Investor Solutions other | UBS Financial Services Inc. wirehouse | Other | Jul 24, 2007 | Nov 1, 2007 (100 d) |
| Steven Troy Merkel | Investor Solutions other | Financial Advisory Consultants, LLC unclassified | Other | Jul 20, 2005 | Jun 6, 2006 (321 d) |
Page 1 of 1
11 moves match.