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 Mid-Continent Capital 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 |
|---|---|---|---|---|---|
| Lawrence Jay Brottman | Mid-Continent Capital LLC bank affiliated | Connectus Wealth independent RIA | Other | Apr 1, 2022 | Apr 3, 2022 |
| Roger A. Albrecht | Mid-Continent Capital LLC bank affiliated | Connectus Wealth independent RIA | Other | Apr 1, 2022 | Apr 3, 2022 |
| Charles Melcher Sloan | Mid-Continent Capital LLC other | Oak Family Advisors, LLC other | Other | Apr 1, 2015 | Apr 8, 2016 (373 d) |
| Terrence Scott Wilson | Mid-Continent Capital LLC other | Oak Family Advisors, LLC other | Other | Dec 20, 2011 | Aug 16, 2012 (240 d) |
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4 moves match.