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 Sgl Investment 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.

AdvisorFromToTypeLeftRegistered
Kathleen O'DellSgl Investment Advisors, Inc. independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankFeb 1, 2024Jul 18, 2023
Thomas YoungSgl Investment Advisors, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseFeb 1, 2024Jun 6, 2023
Eric Robert JoyntSgl Investment Advisors, Inc. independent RIAProspettiva Financial independent RIARIA to RIAJun 6, 2022Nov 21, 2023 (533 d)
Kenneth Bernard HopkinsSgl Investment Advisors, Inc. otherAdvisor Resource Council otherOtherMar 2, 2015Mar 11, 2015
Kelsey Keanna HasterlikSgl Investment Advisors, Inc. otherIndependent Financial Group, LLC BD affiliatedOtherMar 19, 2014May 17, 2018 (1520 d)
Melissa Mullins ShanhouseSgl Investment Advisors, Inc. otherMorgan Stanley wirehouseOtherOct 4, 2013Oct 4, 2013
Evad Patrick VanspooreSgl Investment Advisors, Inc. otherCetera Investment Services LLC otherOtherMay 22, 2012May 24, 2012
Ernest Dale RooSgl Investment Advisors, Inc. otherEdr Investment Advisors, LLC state registeredOtherJul 6, 2011Jul 1, 2013 (726 d)
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8 moves match.