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 Soundview Capital Management Corporation
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 |
|---|---|---|---|---|---|
| Erik Bernard Pearson | Soundview Capital Management Corporation other | Fairfield, Bush & Co. other | Other | Sep 27, 2016 | Oct 17, 2016 |
| Lynne Rosenfeld | Soundview Capital Management Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 27, 2016 | Jun 8, 2016 |
| John Dusza | Soundview Capital Management Corporation other | UBS Financial Services Inc. wirehouse | Other | Aug 10, 2004 | Oct 28, 2004 (79 d) |
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3 moves match.