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 Carota Wealth Management
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 |
|---|---|---|---|---|---|
| Nicholas Echevarria | Carota Wealth Management other | Fidelity Personal And Workplace Advisors BD affiliated | Other | Nov 11, 2020 | May 17, 2021 (187 d) |
| Bruce David Jones | Carota Wealth Management other | LPL Financial LLC other | Other | Jun 28, 2010 | May 7, 2010 |
| Thomas Kevin Ambrose | Carota Wealth Management other | Ameriprise Financial Services, LLC national BD | Other | Jan 16, 2007 | May 14, 2010 (1214 d) |
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3 moves match.