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 James River Asset 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 |
|---|---|---|---|---|---|
| Kristin Danielle Carleton | James River Asset Management, LLC independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 2, 2023 | May 9, 2023 |
| Alexander Mark Brennan | James River Asset Management, LLC independent RIA | Truist Advisory Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 2, 2022 | Sep 12, 2022 (102 d) |
| Fletcher E Allen | James River Asset Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Jun 2, 2022 | Aug 8, 2022 (67 d) |
| Lucas Lee Swygard | James River Asset Management, LLC independent RIA | Edelman Financial Engines mixed wealth | RIA to RIA | Apr 1, 2022 | Apr 18, 2022 |
| Brian Thomas Hennaman | James River Asset Management, LLC independent RIA | Just A Conversation, LLC state registered | RIA to a state-registered adviser | Feb 14, 2020 | Feb 27, 2026 (2205 d) |
| Matthew John Morgan | James River Asset Management, LLC independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | Jul 19, 2019 | Jul 15, 2019 |
| Taylor Douglas Warren | James River Asset Management, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 26, 2018 | Mar 18, 2019 (173 d) |
| Stephen Robert Purdy | James River Asset Management, LLC other | Virginia Investment Advisory, Inc. state registered | Other | Mar 26, 2010 | Jan 3, 2017 (2475 d) |
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8 moves match.