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 Level Four Advisory Services
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 |
|---|---|---|---|---|---|
| John William Stovall | Level Four Advisory Services other | Avantax Advisory Services other | Other | Nov 19, 2007 | Dec 4, 2007 |
| Brian Christopher Mcdaid | Level Four Advisory Services other | Securities America Advisors, Inc. other | Other | Nov 19, 2007 | Nov 23, 2007 |
| John Dray Sterling | Level Four Advisory Services other | Edward Jones national BD | Other | Nov 19, 2007 | Sep 10, 2009 (661 d) |
| Stuart Allen Breeden | Level Four Advisory Services other | Creative Financial Designs, Inc. other | Other | Oct 31, 2007 | Oct 29, 2007 |
| Richard Michael Treta | Level Four Advisory Services other | Osaic Fa, Inc. other | Other | Mar 27, 2007 | Mar 19, 2007 |
Page 4 of 4Previous
185 moves match.