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 Hallett 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 |
|---|---|---|---|---|---|
| James Dennis Hallett | Hallett Advisors independent RIA | First Allied Securities, Inc. other | Other | Dec 4, 2019 | Apr 8, 2002 |
| Matthew Scott Miller | Hallett Advisors independent RIA | Upleft Asset Management state registered | RIA to a state-registered adviser | Aug 13, 2018 | Nov 13, 2018 (92 d) |
| Casi Jean Fors | Hallett Advisors other | LPL Financial LLC other | Other | Oct 2, 2009 | Oct 19, 2009 |
Page 1 of 1
3 moves match.