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 James Capital Alliance 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 |
|---|---|---|---|---|---|
| Clare Thielen | James Capital Alliance Inc independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2021 | Apr 27, 2023 (482 d) |
| Lesley Dawn Ott | James Capital Alliance Inc independent RIA | James Investment Research Inc mixed wealth | RIA to RIA | Dec 31, 2021 | Jan 7, 2022 |
| Ryan Michael Post | James Capital Alliance Inc independent RIA | James Investment Research Inc mixed wealth | RIA to RIA | Dec 31, 2021 | Jan 7, 2022 |
| David James Mcgowan | James Capital Alliance Inc independent RIA | James Investment Research Inc mixed wealth | RIA to RIA | Dec 31, 2021 | Jan 7, 2022 |
| Troy Arthur Prenger | James Capital Alliance Inc independent RIA | Lincoln Investment BD affiliated | RIA to affiliated broker-dealer or bank | Jun 3, 2019 | Aug 18, 2019 (76 d) |
| Michael Lester Mcgowan | James Capital Alliance Inc other | Blackrock Investment Management, LLC other | Other | Aug 31, 2012 | Aug 27, 2013 (361 d) |
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6 moves match.