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 Bates Financial Advisors, 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.

AdvisorFromToTypeLeftRegistered
Jennifer Rebecca SchwarzeBates Financial Advisors, Inc. independent RIARobert W. Baird & Co. Incorporated mixed wealthRIA to RIAJan 8, 2025Jan 8, 2025
Andrew Alan WaggonerBates Financial Advisors, Inc. independent RIAAllstate Financial Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 2, 2023Nov 6, 2023
Thomas Craig CheringtonBates Financial Advisors, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 2, 2023Nov 2, 2023
Amanda Nicole DevoreBates Financial Advisors, Inc. independent RIAThrivent Advisor Network, LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 29, 2022Sep 28, 2022
Robert Edward MorviceBates Financial Advisors, Inc. independent RIAThrivent Advisor Network, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 28, 2022May 24, 2022
Marina B PeacockBates Financial Advisors, Inc. independent RIAMorgan Stanley wirehouseRIA to wirehouseFeb 5, 2021Feb 23, 2021
Mark Andrew JonesBates Financial Advisors, Inc. independent RIARegal Investment Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 3, 2020Sep 2, 2020
Andrew Alan WaggonerBates Financial Advisors, Inc. otherValic Financial Advisors, Inc. BD affiliatedOtherDec 31, 2017Aug 14, 2020 (957 d)
Marina B PeacockBates Financial Advisors, Inc. otherRobert W. Baird & Co. Incorporated otherOtherSep 23, 2016Sep 26, 2016
Erica C AmendaBates Financial Advisors, Inc. otherAmeriprise Financial Services, LLC national BDOtherSep 3, 2013Oct 8, 2013 (35 d)
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10 moves match.