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 Clearbridge Investments
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 |
|---|---|---|---|---|---|
| Robert George Hagstrom | Clearbridge Investments other | 1919 Investment Counsel, LLC other | Other | Dec 4, 2012 | Dec 4, 2012 |
| Mitchel Stuart Penn | Clearbridge Investments other | Janney Montgomery Scott LLC other | Other | Feb 24, 2012 | Apr 19, 2012 (55 d) |
| William Michael Smith | Clearbridge Investments other | 1919 Investment Counsel, LLC other | Other | Dec 1, 2011 | Apr 16, 2012 (137 d) |
| Dennis Delaney Parlante | Clearbridge Investments other | Charles Schwab & Co., Inc. national BD | Other | Nov 4, 2008 | Apr 23, 2009 (170 d) |
| Mark Philip Whiskeyman | Clearbridge Investments other | Osaic Fa, Inc. other | Other | Nov 4, 2008 | Mar 2, 2009 (118 d) |
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5 moves match.