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 Lighthouse Financial 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.

AdvisorFromToTypeLeftRegistered
Shannon Jeanette RossLighthouse Financial LLC no RAUMCambridge Investment Research Advisors, Inc. BD affiliatedOtherApr 14, 2026Jun 1, 2020
Lisa Anne MalickLighthouse Financial LLC independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 26, 2021Jun 1, 2020
Laura Ann BickelLighthouse Financial LLC otherUBS Financial Services Inc. wirehouseOtherJan 19, 2018Dec 11, 2017
Shawn D HarshmanLighthouse Financial LLC otherCambridge Investment Research Advisors, Inc. otherOtherFeb 9, 2016May 1, 2008
Danielle Marie HowardLighthouse Financial LLC otherCambridge Investment Research Advisors, Inc. otherOtherJun 17, 2014Mar 4, 2014
Michael R. FrieLighthouse Financial LLC otherOsaic Wealth, Inc. otherOtherMay 24, 2011Mar 15, 2011
Gustin Deloran Fox-SmithLighthouse Financial LLC otherHinds Financial Group Inc otherOtherAug 28, 2008Feb 9, 2015 (2356 d)
Michael Ernest BanksLighthouse Financial LLC otherLakeridge Wealth Management LLC no RAUMOtherFeb 27, 2007Aug 19, 2021 (5287 d)
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8 moves match.