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 USA Mutuals Advisors, Inc.
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 |
|---|---|---|---|---|---|
| Charles Louis Norton | USA Mutuals Advisors, Inc. asset manager | Penn Davis Mcfarland Inc other | Other | Dec 31, 2019 | Nov 17, 2015 |
| Nicholaus Glocke | USA Mutuals Advisors, Inc. asset manager | Fidelity Personal And Workplace Advisors BD affiliated | Other | Dec 31, 2019 | Nov 26, 2021 (696 d) |
| Chantz Kwapick | USA Mutuals Advisors, Inc. asset manager | Fidelity Personal And Workplace Advisors BD affiliated | Other | Dec 31, 2019 | Dec 15, 2021 (715 d) |
| Brian Andrew Shank | USA Mutuals Advisors, Inc. asset manager | Robert W. Baird & Co. Incorporated mixed wealth | Other | Dec 31, 2019 | May 1, 2019 |
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4 moves match.