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 Springer Financial Advisors
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 |
|---|---|---|---|---|---|
| Diana Dirocco | Springer Financial Advisors independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Apr 3, 2019 | Apr 3, 2019 |
| Stephen Alexander Kim Sin Belasco | Springer Financial Advisors independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 4, 2018 | Jul 3, 2019 (272 d) |
| John Guess | Springer Financial Advisors independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | May 9, 2018 | May 24, 2018 |
| Sean Gannon | Springer Financial Advisors other | Wells Fargo Advisors wirehouse | Other | May 31, 2016 | May 3, 2016 |
| Matthew Sydney Curtis | Springer Financial Advisors other | Brookstone Wealth Advisors, LLC other | Other | Jan 2, 2015 | Jan 14, 2015 |
| Edward Sal Guanill | Springer Financial Advisors other | Brookstone Wealth Advisors, LLC other | Other | Sep 18, 2014 | Sep 29, 2014 |
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6 moves match.