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 Sovereign Wealth Advisors, 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 |
|---|---|---|---|---|---|
| Scott Allen Sheffield | Sovereign Wealth Advisors, Inc. independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2022 | Dec 9, 2022 |
| Tara Johnson | Sovereign Wealth Advisors, Inc. independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2022 | Dec 9, 2022 |
| Sharon Lailey | Sovereign Wealth Advisors, Inc. independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2022 | Dec 9, 2022 |
| John Paul Ulrich | Sovereign Wealth Advisors, Inc. other | Sovereign Investment Advisors LLC other | Other | Feb 17, 2010 | Mar 2, 2009 |
| Charles Hanson Womack | Sovereign Wealth Advisors, Inc. other | UBS Financial Services Inc. wirehouse | Other | Mar 25, 2009 | Mar 17, 2009 |
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5 moves match.