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 Personal Financial Group

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
William Keith PadekPersonal Financial Group independent RIALPL Financial LLC otherOtherJun 28, 2019Aug 16, 2017
Gregory Thomas CorneliusPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIAJun 28, 2019Jan 31, 2018
Mark Wheeler HarrisPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIAJun 28, 2019Feb 15, 2018
Donald C ClarkPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIAJun 28, 2019Mar 28, 2018
Jeffrey Howard NesselPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIAJun 28, 2019Nov 28, 2018
Mark David RabinPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIADec 18, 2018Jan 31, 2018
Eric Alan JohnsonPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIADec 18, 2018Jan 24, 2018
Alan Mark RickertPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIADec 18, 2018Jan 23, 2018
Daniel Joseph KammerichPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIADec 18, 2018Jun 1, 2018
James Thomas FlanaganPersonal Financial Group independent RIACenterpoint Advisory Group, LLC no RAUMRIA to a newly registered adviserDec 18, 2018Feb 15, 2023 (1520 d)
Keith Fredrick NovakPersonal Financial Group independent RIALPL Financial LLC independent RIARIA to RIADec 18, 2018Jan 31, 2018
Craig Scott FischPersonal Financial Group otherIht Wealth Management LLC otherOtherOct 26, 2017Oct 23, 2017
Mitch Dean CarlsonPersonal Financial Group otherIht Wealth Management LLC otherOtherDec 31, 2016Oct 23, 2017 (296 d)
Donald C ClarkPersonal Financial Group otherSunamerica Securities, Inc. unclassifiedOtherDec 31, 2004Jan 2, 2004
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14 moves match.