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 Dawson James Asset Management, 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 |
|---|---|---|---|---|---|
| Nick Kaloyios | Dawson James Asset Management, Inc. state registered | Securities America Advisors, Inc. BD affiliated | Other | Oct 12, 2021 | Nov 3, 2021 |
| Willard Louis Pugh | Dawson James Asset Management, Inc. state registered | B. Riley Wealth Advisors, Inc. other | Other | Jun 14, 2016 | Jun 15, 2016 |
| Paul Robert Dipietro | Dawson James Asset Management, Inc. state registered | Pinnacle Investments, LLC independent RIA | Other | Aug 13, 2015 | Mar 9, 2021 (2035 d) |
| Donald Michael Bateman | Dawson James Asset Management, Inc. state registered | National Wealth Management Group, LLC no RAUM | Other | Feb 15, 2013 | Jan 5, 2016 (1054 d) |
| Ryan Cole | Dawson James Asset Management, Inc. state registered | Ssn Advisory, Inc. other | Other | Mar 2, 2012 | Mar 9, 2012 |
| Leandro Nogueira | Dawson James Asset Management, Inc. state registered | Ameriprise Financial Services, LLC national BD | Other | Nov 5, 2007 | Jan 11, 2022 (5181 d) |
Page 1 of 1
6 moves match.