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 Tmd & Associates, 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 |
|---|---|---|---|---|---|
| Todd Macarthur Douma | Tmd & Associates, Inc. independent RIA | One Charles Private Wealth independent RIA | RIA to RIA | Jul 12, 2019 | Jul 12, 2019 |
| Steven Eugene Neeley | Tmd & Associates, Inc. independent RIA | One Charles Private Wealth independent RIA | RIA to RIA | Jul 1, 2019 | Aug 15, 2019 (45 d) |
| Gavin David Lyons | Tmd & Associates, Inc. independent RIA | One Charles Private Wealth independent RIA | RIA to RIA | Jul 1, 2019 | Aug 15, 2019 (45 d) |
| Shawn Jerome West | Tmd & Associates, Inc. independent RIA | One Charles Private Wealth independent RIA | RIA to RIA | Jul 1, 2019 | Jul 3, 2019 |
| Aaron Michael Coates | Tmd & Associates, Inc. independent RIA | Keystone Wealth Partners LLC independent RIA | RIA to RIA | Jul 1, 2019 | Nov 6, 2019 (128 d) |
| Ethan Russman | Tmd & Associates, Inc. other | Emerson Equity LLC BD affiliated | Other | Dec 12, 2017 | Sep 23, 2022 (1746 d) |
| Nathan Niels Faerber | Tmd & Associates, Inc. other | Usaa Financial Planning Services no RAUM | Other | May 24, 2010 | Jun 8, 2010 |
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7 moves match.