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 Spectrum Financial Alliance, Ltd., L.L.C.
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 |
|---|---|---|---|---|---|
| Vincent Conrad Montgomery | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Jan 27, 2025 | Oct 29, 2025 (275 d) |
| Eric Peter White | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | Foundations Investment Advisors LLC independent RIA | RIA to RIA | Apr 1, 2024 | Oct 16, 2024 (198 d) |
| Jacob Karl Buckley | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | May 3, 2022 | Jul 19, 2022 (77 d) |
| Dillon Bruce Harper | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | On Investment Management Co BD affiliated | RIA to affiliated broker-dealer or bank | Jan 5, 2021 | Dec 13, 2022 (707 d) |
| Michael Paul Reich | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | D. Scott Neal, Inc. independent RIA | RIA to RIA | Nov 16, 2020 | Nov 9, 2021 (358 d) |
| Steven C Booth | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Jun 5, 2020 | Mar 3, 2020 |
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6 moves match.