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 Sprott Asset Management USA 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 |
|---|---|---|---|---|---|
| Blake Austin Soto | Sprott Asset Management USA Inc. mixed wealth | Stifel, Nicolaus & Company, Incorporated national BD | RIA to affiliated broker-dealer or bank | Apr 29, 2024 | May 2, 2024 |
| Timothy Joseph Taschler | Sprott Asset Management USA Inc. independent RIA | Regal Advisory Services, Inc. independent RIA | RIA to RIA | Oct 4, 2022 | Oct 12, 2022 |
| Albert Keishi Lu | Sprott Asset Management USA Inc. independent RIA | Luma Financial state registered | RIA to a state-registered adviser | Jul 12, 2021 | Sep 2, 2021 (52 d) |
| Cameron Christopher Wadsworth | Sprott Asset Management USA Inc. independent RIA | Assetmark, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 10, 2020 | Apr 28, 2021 (169 d) |
| William James Reik | Sprott Asset Management USA Inc. independent RIA | Wealthion no RAUM | RIA to a newly registered adviser | Oct 16, 2019 | Jul 27, 2026 (2476 d) |
| Marisa Ford | Sprott Asset Management USA Inc. independent RIA | Lucia Capital Group independent RIA | RIA to RIA | Jul 9, 2019 | Jul 10, 2019 |
| Ria Gost | Sprott Asset Management USA Inc. other | Cuso Financial Services, L.P. other | Other | Dec 17, 2012 | Jan 12, 2015 (756 d) |
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7 moves match.