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 Securities Brokerage Services

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
Rebecca A BryanSecurities Brokerage Services state registeredNewedge Advisors BD affiliatedOtherDec 4, 2023Oct 17, 2023
Theodore Francis StaatsSecurities Brokerage Services state registeredCetera Advisor Networks LLC otherOtherNov 26, 2019Sep 3, 2013
Charles Wilber MccoySecurities Brokerage Services state registeredCetera Investment Advisers LLC BD affiliatedOtherFeb 28, 2018Jun 29, 2023 (1947 d)
Justin TeganoSecurities Brokerage Services state registeredCambridge Investment Research Advisors, Inc. otherOtherMay 23, 2013Jun 4, 2013
Matthew Glynn OxenreiterSecurities Brokerage Services state registeredCetera Advisor Networks LLC otherOtherDec 16, 2011Sep 3, 2013 (627 d)
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5 moves match.