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 Hergenroeder Financial Advisors, Inc.
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 |
|---|---|---|---|---|---|
| Kevin Raphael Kelly | Hergenroeder Financial Advisors, Inc. independent RIA | Independent Advisor Alliance, LLC other | Other | Aug 12, 2025 | Oct 6, 2025 (55 d) |
| Jacob Cohen | Hergenroeder Financial Advisors, Inc. independent RIA | Creative Planning independent RIA | RIA to RIA | May 3, 2023 | May 15, 2023 |
| Anthony Patrick Malizia | Hergenroeder Financial Advisors, Inc. other | Alliancebernstein L.P. asset manager | Other | Feb 21, 2018 | Apr 17, 2023 (1881 d) |
| Ryan Scott Appleby | Hergenroeder Financial Advisors, Inc. other | LPL Financial LLC other | Other | Aug 12, 2014 | Mar 3, 2008 |
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4 moves match.