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 D3 Financial Counselors 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
Donald Duane DuncanD3 Financial Counselors LLC independent RIASavant Wealth Management independent RIARIA to RIADec 20, 2018Oct 1, 2018
Adam Jeffrey GlassbergD3 Financial Counselors LLC independent RIASavant Wealth Management independent RIARIA to RIADec 20, 2018Oct 1, 2018
Brett A. SpencerD3 Financial Counselors LLC independent RIASavant Wealth Management independent RIARIA to RIAOct 18, 2018Oct 1, 2018
Michael Hugh SmithD3 Financial Counselors LLC independent RIAUnited Capital Financial Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 4, 2018Dec 24, 2019 (446 d)
Dennis C GravittD3 Financial Counselors LLC otherLong Run Financial, Ltd state registeredOtherJul 13, 2007Sep 11, 2007 (60 d)
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5 moves match.