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 Cosey Financial Services, 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 |
|---|---|---|---|---|---|
| John Robert Dixon | Cosey Financial Services, Inc. independent RIA | Dempsey Lord Smith, LLC independent RIA | RIA to RIA | Mar 2, 2021 | Jul 28, 2022 (513 d) |
| Andrew Robert Wallace | Cosey Financial Services, Inc. independent RIA | Silver Oak Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 5, 2020 | Jan 17, 2020 |
| Rachael Jenifer Holcomb | Cosey Financial Services, Inc. independent RIA | Osaic Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 10, 2019 | Jan 6, 2020 |
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3 moves match.