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 Pt Asset Management, LLC
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 |
|---|---|---|---|---|---|
| Kevin J Miller | Pt Asset Management, LLC asset manager | Vest Financial LLC asset manager | Other | Jan 23, 2026 | Oct 27, 2025 |
| Colin Joseph Arnold | Pt Asset Management, LLC asset manager | Principal Asset Management other | Other | Jan 23, 2026 | Jan 8, 2026 |
| James Patrick Richter | Pt Asset Management, LLC other | Avantax Advisory Services other | Other | Jan 26, 2015 | Jul 29, 2015 (184 d) |
| Cynthia Joseph | Pt Asset Management, LLC other | Strategic Advisers LLC national BD | Other | Jan 24, 2014 | Mar 11, 2014 (46 d) |
| Christopher Nicholas Dubos | Pt Asset Management, LLC other | Packerland Brokerage Services, Inc. independent RIA | Other | Sep 11, 2013 | Apr 25, 2019 (2052 d) |
| Johnathan Nein Wilhelm | Pt Asset Management, LLC other | First Trust Advisors LP other | Other | Sep 6, 2013 | Sep 16, 2013 |
| James Patrick Richter | Pt Asset Management, LLC other | Uvest Financial Services Group, Inc. unclassified | Other | Jul 24, 2003 | Feb 17, 2004 (208 d) |
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7 moves match.