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 James Investment Research Inc
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 |
|---|---|---|---|---|---|
| Ashlee Danette Walton | James Investment Research Inc mixed wealth | Goldstone Financial Group, LLC independent RIA | RIA to RIA | Apr 13, 2026 | Mar 7, 2024 |
| Moustapha Mounah | James Investment Research Inc mixed wealth | Westminster Financial Advisory Corp independent RIA | RIA to RIA | Jan 12, 2024 | Mar 1, 2024 (49 d) |
| Michelle Lynn Sarmiento | James Investment Research Inc other | Neuberger Berman Bd LLC no RAUM | Other | Apr 1, 2019 | Apr 10, 2019 |
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3 moves match.