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 Lombard Advisers Incorporated

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.

AdvisorFromToTypeLeftRegistered
William Charles FoxLombard Advisers Incorporated independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2026Sep 2, 2026
Brandon Reed CroxtonLombard Advisers Incorporated independent RIABrc Financial Planning state registeredRIA to a state-registered adviserJul 28, 2025Jul 29, 2025
Jack A. HeilLombard Advisers Incorporated independent RIAPlanmember Securities Corporation independent RIARIA to RIAMay 29, 2025May 28, 2025
Kamran RichardLombard Advisers Incorporated independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseDec 31, 2024Jan 8, 2025
Jeffrey Darrin MurrayLombard Advisers Incorporated independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 24, 2024Jun 21, 2024
Syed Abdul RuminLombard Advisers Incorporated independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 4, 2023Oct 30, 2023
Thomas SweeneyLombard Advisers Incorporated independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 18, 2018Apr 18, 2018
Eric GraupenspergerLombard Advisers Incorporated independent RIAMML Investors Services, LLC otherOtherJan 2, 2018Jan 29, 2018
Stanley Anthony KosackLombard Advisers Incorporated independent RIABlu Collar Wealth Management LLC unclassifiedOtherDec 3, 2017Jul 5, 2018 (214 d)
Trudy Ann FearonLombard Advisers Incorporated independent RIAOaktree Advisors LLC independent RIARIA to RIANov 17, 2016Nov 22, 2016
Mark BurkhardtLombard Advisers Incorporated independent RIAStonebrook Investment, LLC state registeredRIA to a state-registered adviserJul 17, 2013Jul 17, 2013
Stephanie Goldsborough BigwoodLombard Advisers Incorporated independent RIAOsaic Fa, Inc. otherOtherMar 23, 2006Aug 16, 2004
Chris H NaumLombard Advisers Incorporated independent RIAInvestors Capital Advisory otherOtherDec 31, 2005Dec 16, 2005
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13 moves match.