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 Sloan Investment Management, L.L.C.
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 |
|---|---|---|---|---|---|
| Frank Oliver Sloan | Sloan Investment Management, L.L.C. independent RIA | Ep Wealth Advisors independent RIA | RIA to RIA | Jul 31, 2024 | Jul 17, 2024 |
| Casey Ward Conway | Sloan Investment Management, L.L.C. independent RIA | Ep Wealth Advisors independent RIA | RIA to RIA | Jul 31, 2024 | Jul 9, 2024 |
| James Patrick Henry | Sloan Investment Management, L.L.C. independent RIA | Ep Wealth Advisors independent RIA | RIA to RIA | Jul 31, 2024 | Jul 9, 2024 |
| Shannen Scott Smith | Sloan Investment Management, L.L.C. independent RIA | Ep Wealth Advisors independent RIA | RIA to RIA | Jul 31, 2024 | Jul 8, 2024 |
| Charles Raymond Mays | Sloan Investment Management, L.L.C. independent RIA | Mariner Independent no RAUM | RIA to a newly registered adviser | Jul 13, 2020 | Jul 7, 2020 |
| Frederick Wayne Lear | Sloan Investment Management, L.L.C. other | Lear Investment Management no RAUM | Other | Jan 28, 2015 | Jan 12, 2015 |
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6 moves match.