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 Union Capital Company
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 |
|---|---|---|---|---|---|
| Noemi Lopez Ortega | Union Capital Company independent RIA | Advisory Solutions Group no RAUM | RIA to a newly registered adviser | May 22, 2026 | May 1, 2026 |
| Kevin William Mcbarron | Union Capital Company independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 3, 2025 | Mar 17, 2025 |
| Charles Anderson Cumber | Union Capital Company independent RIA | Simplicity Wealth other | Other | Feb 5, 2025 | Feb 12, 2025 |
| Karen Ann Koenig | Union Capital Company independent RIA | Wealthcare Advisory Partners LLC independent RIA | RIA to RIA | Feb 12, 2024 | Feb 2, 2024 |
| Francisco B Almada | Union Capital Company independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 5, 2023 | Aug 9, 2023 (65 d) |
| William Paul Fauzio | Union Capital Company independent RIA | Vanderbilt Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2023 | Mar 29, 2023 |
| Peter Francis Stratton | Union Capital Company independent RIA | Independent Financial Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 27, 2018 | Jan 16, 2025 (2212 d) |
| Jerome Van Leftwich | Union Capital Company independent RIA | Jim Poe And Associates Inc. other | Other | Oct 5, 2012 | Mar 14, 2014 (525 d) |
| Jason Gregory Smith | Union Capital Company independent RIA | Voya Financial Advisors, Inc. other | Other | Mar 16, 2011 | Mar 23, 2011 |
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9 moves match.