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 Colton Groome Financial Advisors, 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
Julia Nicole RobertsColton Groome Financial Advisors, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseFeb 21, 2024Apr 5, 2024 (44 d)
Colin Svend LarsenColton Groome Financial Advisors, LLC independent RIAMariner BD affiliatedRIA to affiliated broker-dealer or bankMar 22, 2023Aug 22, 2023 (153 d)
Orville John IgharasColton Groome Financial Advisors, LLC independent RIAFirst Citizens Investor Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 19, 2018Jul 1, 2020 (590 d)
Chad RoopeColton Groome Financial Advisors, LLC independent RIASchwab Wealth Advisory, Inc. otherOtherMar 16, 2012Mar 26, 2012
John David RoegnerColton Groome Financial Advisors, LLC independent RIASoutheast Investments, N.C., Inc. state registeredRIA to a state-registered adviserMay 23, 2011May 17, 2013 (725 d)
Colin Svend LarsenColton Groome Financial Advisors, LLC independent RIAValmark Advisers, Inc. otherOtherDec 31, 2006Jan 16, 2007
Donna Sawyer MurrayColton Groome Financial Advisors, LLC independent RIAFirst Citizens Investor Services, Inc. otherOtherJul 2, 2004Oct 18, 2004 (108 d)
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7 moves match.