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 Resources
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 Loberg | Spectrum Financial Resources independent RIA | Concorde Asset Management, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 26, 2024 | Jul 12, 2024 |
| Robert Paul Abraham | Spectrum Financial Resources independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Sep 21, 2022 | Sep 15, 2022 |
| Carl Damien Gill | Spectrum Financial Resources other | Elevated Performance Investment Group, LLC state registered | Other | Dec 4, 2015 | Mar 28, 2016 (115 d) |
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3 moves match.