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 Regal Wealth Group 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 |
|---|---|---|---|---|---|
| Gary Peter Klein | Regal Wealth Group Inc. no RAUM | Newedge Advisors BD affiliated | Other | Mar 28, 2024 | Feb 1, 2024 |
| William Malcolm Beeler | Regal Wealth Group Inc. no RAUM | Newedge Advisors BD affiliated | Other | Mar 28, 2024 | Jan 1, 2026 (644 d) |
| Darcy Allan Pierce | Regal Wealth Group Inc. no RAUM | Newedge Advisors BD affiliated | Other | Mar 28, 2024 | Feb 5, 2024 |
Page 1 of 1
3 moves match.