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 Pks Investment Advisors 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 |
|---|---|---|---|---|---|
| Timothy Anthony Gonzales | Pks Investment Advisors LLC independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 10, 2022 | Mar 21, 2024 (801 d) |
| Steven Eugene Sweigert | Pks Investment Advisors LLC independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 2, 2020 | Jan 2, 2020 |
| Steven Michael James | Pks Investment Advisors LLC independent RIA | T. Rowe Price Advisory Services, Inc. independent RIA | RIA to RIA | Jun 25, 2018 | Sep 20, 2018 (87 d) |
| John Henry Repass | Pks Investment Advisors LLC other | Esi Financial Advisors other | Other | Mar 16, 2015 | Mar 23, 2015 |
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4 moves match.