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 Register Financial Advisors, LLC

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
Joseph CriscioneRegister Financial Advisors, LLC independent RIAValic Financial Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 17, 2025Feb 6, 2025
Holland Arthur SullivanRegister Financial Advisors, LLC independent RIACitigroup Global Markets Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 5, 2021May 23, 2022 (291 d)
Amy Kaler WebsterRegister Financial Advisors, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankFeb 11, 2021Mar 16, 2021 (33 d)
David T WeitzRegister Financial Advisors, LLC independent RIAAcg Wealth Inc. independent RIARIA to RIAOct 1, 2018Oct 5, 2018
Justin GarofaloRegister Financial Advisors, LLC independent RIAMutual Of Omaha Investor Services, Inc. no RAUMOtherJul 10, 2018Aug 22, 2018 (43 d)
Brian Joseph SullivanRegister Financial Advisors, LLC otherMercer Global Advisors Inc. otherOtherMar 15, 2016Apr 8, 2016
Harris Cobb AndersonRegister Financial Advisors, LLC otherTrinity Capital Management, Llp state registeredOtherOct 12, 2015Dec 4, 2015 (53 d)
Robert Nelson NixRegister Financial Advisors, LLC otherLPL Financial LLC otherOtherOct 18, 2012Nov 8, 2012
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8 moves match.