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 Trademark Financial Management, 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 |
|---|---|---|---|---|---|
| Zachary Thomas Desmond | Trademark Financial Management, LLC independent RIA | Newedge Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 6, 2024 | May 13, 2024 |
| John Phillip Mowery | Trademark Financial Management, LLC independent RIA | O'Brien And Associates, Inc. state registered | RIA to a state-registered adviser | Mar 19, 2024 | Sep 30, 2019 |
| Stacie Lynn Giddings | Trademark Financial Management, LLC other | Redhawk Wealth Advisors, Inc. other | Other | Jun 6, 2016 | Nov 10, 2016 (157 d) |
| Stephen Robert Carlton | Trademark Financial Management, LLC other | Independent Financial Group, LLC other | Other | Nov 14, 2013 | Feb 9, 2015 (452 d) |
| Karalyn Jayne Carlton | Trademark Financial Management, LLC other | Independent Financial Group, LLC other | Other | Nov 14, 2013 | Feb 23, 2018 (1562 d) |
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5 moves match.