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 Saxony Capital 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.

AdvisorFromToTypeLeftRegistered
Lawrence Paige SeidenSaxony Capital Management, LLC otherSterne Agee Investment Advisor Services, Inc. otherOtherJul 9, 2010Oct 8, 2010 (91 d)
Joann Michelle JollySaxony Capital Management, LLC otherWells Fargo Advisors wirehouseOtherApr 1, 2009Sep 18, 2009 (170 d)
Alec Edward HokeSaxony Capital Management, LLC other1st Discount Brokerage, Inc. otherOtherFeb 20, 2009Jan 11, 2011 (690 d)
Ariel Moshe SerberSaxony Capital Management, LLC otherRichard Brothers, Financial Advisors otherOtherNov 7, 2008Sep 3, 2009 (300 d)
James Joseph CardenSaxony Capital Management, LLC otherOsaic Wealth, Inc. otherOtherFeb 21, 2008Apr 2, 2008 (41 d)
Chad MitchellSaxony Capital Management, LLC otherEdward Jones national BDOtherNov 16, 2007Mar 19, 2018 (3776 d)
Carrie Alexah StrongheartSaxony Capital Management, LLC otherRidgeway Conger Advisory Services otherOtherSep 7, 2007Sep 28, 2007
Philip Eugene YockeySaxony Capital Management, LLC otherThe Tilted Funds Group, LLC state registeredOtherSep 6, 2007Apr 19, 2007
Andrew Jon FriedmanSaxony Capital Management, LLC otherAjf Capital Management, Inc. independent RIAOtherDec 16, 2004Jul 11, 2021 (6051 d)
Beth Susan OakesSaxony Capital Management, LLC otherMoneta Group Investment Advisors, LLC otherOtherDec 16, 2004Mar 12, 2010 (1912 d)
Larry Jefferson TolbertSaxony Capital Management, LLC otherHouseholder Group, Estate & Retirement Specialists unclassifiedOtherAug 27, 2004Jan 6, 2005 (132 d)
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71 moves match.