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 Access Financial Services, 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 |
|---|---|---|---|---|---|
| Timothy Thomas Harberts | Access Financial Services, Inc. independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 7, 2021 | May 18, 2022 (162 d) |
| Ellen Katherine Osthus | Access Financial Services, Inc. independent RIA | Equita Financial Network, Inc. independent RIA | RIA to RIA | Aug 23, 2019 | Sep 18, 2019 |
| Timothy Alan Rosga | Access Financial Services, Inc. other | RBC Capital Markets, LLC national BD | Other | Jan 20, 2017 | Nov 1, 2016 |
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3 moves match.