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 3d 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.

AdvisorFromToTypeLeftRegistered
John Arthur O'Connor3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Apr 8, 2021
Keith Kristan Lindberg3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Apr 21, 2021
James Louis Matt3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Apr 20, 2021
Brian Edward Hawley3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Mar 11, 2021
Michael Paul Otterson3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Apr 8, 2021
Daniel William Snyder3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Apr 13, 2021
Matthew David Shute3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Feb 23, 2021
Scott Kevin Hawley3d Asset Management, Inc. independent RIA3d/L Capital Management, LLC independent RIARIA to RIAMar 31, 2021Mar 16, 2021
Mark Stuart Schaffer3d Asset Management, Inc. otherScottrade Investment Management otherOtherJul 15, 2016Sep 7, 2016 (54 d)
Jason W. Cowie3d Asset Management, Inc. otherCetera Investment Advisers LLC otherOtherDec 2, 2015Aug 17, 2017 (624 d)
Christopher Jay Davis3d Asset Management, Inc. otherScottrade Investment Management otherOtherNov 4, 2014Apr 25, 2016 (538 d)
Philip Michael Napolitano3d Asset Management, Inc. otherEdward Jones national BDOtherNov 4, 2014Oct 5, 2018 (1431 d)
Timothy John Baker3d Asset Management, Inc. otherAsset Strategies, Inc. otherOtherDec 4, 2013Dec 12, 2013
Edwin A. Nunez3d Asset Management, Inc. otherTd Ameritrade, Inc. no RAUMOtherNov 22, 2013Jan 13, 2014 (52 d)
Wayne Nmn Connors3d Asset Management, Inc. otherBlack Swan Wealth Management state registeredOtherJun 4, 2013Jun 5, 2014 (366 d)
Michael Lawrence Storer3d Asset Management, Inc. otherSymmetry Partners otherOtherNov 21, 2012Nov 27, 2012
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16 moves match.