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 Smart401k, 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
Joelle Rhea MorrisSmart401k, LLC no RAUMEdelman Financial Engines independent RIAOtherAug 22, 2018Jan 7, 2020 (503 d)
Michael Emory ChoateSmart401k, LLC no RAUMEdelman Financial Engines independent RIAOtherAug 22, 2018Jun 5, 2018
Kevin JaegersSmart401k, LLC otherCetera Planning Partners otherOtherMay 23, 2016Jun 7, 2016
Andrew James ThomasSmart401k, LLC otherCreative Planning otherOtherJul 9, 2015Jun 29, 2015
Randy A SchallerSmart401k, LLC otherPrism Financial Group, L.L.C. otherOtherJun 23, 2015Mar 23, 2016 (274 d)
Michael Paul RussellSmart401k, LLC otherCreative Planning otherOtherJun 23, 2015Jun 24, 2015
Raymond Michael DychesSmart401k, LLC otherBlue Valley Wealth Advisors, Inc. unclassifiedOtherNov 20, 2013Jun 21, 2017 (1309 d)
Kevin JaegersSmart401k, LLC otherFinancial Engines Advisor Center, LLC otherOtherSep 24, 2013Sep 24, 2013
Charles Henry KochSmart401k, LLC otherPrism Financial Group, L.L.C. otherOtherOct 12, 2012Jan 14, 2013 (94 d)
Joseph G MccullochSmart401k, LLC otherSmith Moore & Co. otherOtherJun 13, 2012Jan 15, 2013 (216 d)
John Paul ChladekSmart401k, LLC otherSound Stewardship, LLC otherOtherNov 1, 2007Nov 15, 2007
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11 moves match.