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 Professional Planning

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
Cranston Richard GesellProfessional Planning independent RIAOne Capital Management, LLC independent RIARIA to RIASep 9, 2022Oct 30, 2020
Kevin Garrett JohnsonProfessional Planning independent RIAOne Capital Management, LLC independent RIARIA to RIASep 9, 2022Oct 28, 2020
Kenneth Alan BockProfessional Planning independent RIAMutual Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 24, 2022Jun 1, 2022
Richard Kevin WintersProfessional Planning independent RIAWinters Financial Group, Inc. independent RIARIA to RIAJun 11, 2021Oct 15, 2020
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4 moves match.