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 Prospera Financial Services, 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 |
|---|---|---|---|---|---|
| Christopher Michael Cook | Prospera Financial Services, Inc. other | Frost Investment Advisors, LLC other | Other | Feb 20, 2007 | May 27, 2014 (2653 d) |
| Willeen Frankie Linsicombe | Prospera Financial Services, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 25, 2006 | Dec 20, 2006 (56 d) |
| Peter G Lucier | Prospera Financial Services, Inc. other | Sagepoint Financial, Inc. other | Other | Feb 13, 2006 | Mar 17, 2006 (32 d) |
| William Edward Dendy | Prospera Financial Services, Inc. other | LPL Financial LLC other | Other | Oct 21, 2004 | Oct 15, 2004 |
| Steven Jay Diamond | Prospera Financial Services, Inc. other | LPL Financial LLC other | Other | Dec 6, 2002 | Nov 19, 2002 |
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125 moves match.