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 Swan Global Investments, LLC
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 |
|---|---|---|---|---|---|
| Stephen Thomas Bogosian | Swan Global Investments, LLC mixed wealth | Beacon Capital Management, Inc. independent RIA | RIA to RIA | Mar 11, 2025 | Apr 24, 2025 (44 d) |
| Brennan C Mccormack | Swan Global Investments, LLC mixed wealth | Crestone Asset Management LLC mixed wealth | RIA to RIA | Oct 11, 2023 | Nov 14, 2023 (34 d) |
| Angela V Harris | Swan Global Investments, LLC mixed wealth | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2023 | Feb 1, 2024 (209 d) |
| Jay David Angotti | Swan Global Investments, LLC mixed wealth | Hilltop Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 8, 2023 | Feb 27, 2023 |
| Micah John Wakefield | Swan Global Investments, LLC mixed wealth | Brs Financial LLC independent RIA | RIA to RIA | Apr 1, 2022 | Apr 22, 2022 |
| Justin Wesley Bates | Swan Global Investments, LLC mixed wealth | Ica Group Wealth Management, LLC independent RIA | RIA to RIA | Dec 23, 2021 | Jan 10, 2022 |
| Julie Elaine Warren Holton | Swan Global Investments, LLC mixed wealth | Janney Montgomery Scott LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 4, 2021 | Nov 4, 2021 (153 d) |
| Christopher Hylen | Swan Global Investments, LLC mixed wealth | Planning Alternatives Ltd independent RIA | RIA to RIA | Feb 12, 2021 | Feb 25, 2021 |
| George Brooks Wrightnour | Swan Global Investments, LLC mixed wealth | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 2, 2020 | Oct 27, 2020 (55 d) |
| Cynthia Susan Pelosi | Swan Global Investments, LLC mixed wealth | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 4, 2019 | Sep 22, 2021 (719 d) |
| Mason Billock | Swan Global Investments, LLC mixed wealth | Invesco Advisers, Inc. asset manager | Other | Mar 26, 2019 | Aug 27, 2024 (1981 d) |
| Kevin Joseph Gray | Swan Global Investments, LLC mixed wealth | LPL Financial LLC independent RIA | RIA to RIA | Jul 3, 2018 | Jan 2, 2019 (183 d) |
| Christopher Charles Fox | Swan Global Investments, LLC other | RBC Capital Markets, LLC national BD | Other | Oct 26, 2017 | May 4, 2018 (190 d) |
| John Erik Olson | Swan Global Investments, LLC other | Wells Fargo Advisors wirehouse | Other | Jul 1, 2016 | May 30, 2018 (698 d) |
| James Patrick Pritchard | Swan Global Investments, LLC other | Donoghue Forlines LLC other | Other | Apr 2, 2013 | Jun 6, 2018 (1891 d) |
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15 moves match.