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 Spectrum Strategies, L.L.C.

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.

AdvisorFromToTypeLeftRegistered
Matt LemmondSpectrum Strategies, L.L.C. state registeredEagle Strategies LLC BD affiliatedOtherJul 11, 2023Jul 20, 2023
David Peter SuessSpectrum Strategies, L.L.C. state registeredPruco Securities, LLC otherOtherAug 2, 2017Aug 9, 2017
Patrick Francis ThuecksSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC BD affiliatedOtherJul 28, 2016Nov 18, 2021 (1939 d)
Robert Douglas BlairSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC otherOtherDec 31, 2006Apr 18, 2007 (108 d)
Jayson Coleman BalesSpectrum Strategies, L.L.C. state registeredRobert W. Baird & Co. Incorporated otherOtherDec 31, 2006Mar 12, 2012 (1898 d)
Jeffrey Franklin PaineSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC otherOtherDec 31, 2006Aug 8, 2003
David Anthony HockerSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC otherOtherDec 31, 2006Jan 14, 2008 (379 d)
Jeffrey Dale CumminsSpectrum Strategies, L.L.C. state registeredLPL Financial LLC BD affiliatedOtherDec 31, 2006Jun 3, 2026 (7094 d)
David Peter SuessSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC otherOtherDec 31, 2006Jun 29, 2006
Donald Paul GoernerSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC otherOtherDec 31, 2006May 22, 2003
Jon Michael ReppertSpectrum Strategies, L.L.C. state registeredSpectrum Advisors, Inc. independent RIAOtherNov 29, 2006Feb 1, 1999
Cody B BradshawSpectrum Strategies, L.L.C. state registeredMML Investors Services, LLC otherOtherNov 16, 2006Aug 20, 2002
Robert R SweeneySpectrum Strategies, L.L.C. state registeredHornor, Townsend & Kent, LLC otherOtherApr 8, 2005Mar 30, 2005
Thomas Patrick ZanovichSpectrum Strategies, L.L.C. state registeredPark Avenue Securities LLC BD affiliatedOtherDec 16, 2004Jul 1, 2019 (5310 d)
Crystal Leigh BillingSpectrum Strategies, L.L.C. state registeredLPL Financial LLC otherOtherDec 16, 2004Aug 22, 2006 (614 d)
Michael PakSpectrum Strategies, L.L.C. state registeredBanc Of America Investment Services, Inc. unclassifiedOtherMar 24, 2003Feb 26, 2004 (339 d)
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16 moves match.