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 Carret Asset Management, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Anthony Sneag | Carret Asset Management, LLC mixed wealth | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Dec 1, 2025 | Nov 26, 2025 |
| John Helme Dunn | Carret Asset Management, LLC mixed wealth | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 3, 2023 | Dec 21, 2023 (140 d) |
| Richard Stephen Bartholow | Carret Asset Management, LLC other | Morgan Stanley wirehouse | Other | Jan 14, 2010 | Jan 8, 2010 |
| Linda Hope Sutkin | Carret Asset Management, LLC other | Kelleher Financial Advisors, LLC other | Other | Jan 7, 2010 | Jan 7, 2010 |
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4 moves match.