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 N1 Advisors
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 |
|---|---|---|---|---|---|
| Stephen Christopher Target | N1 Advisors independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 26, 2023 | Mar 28, 2023 |
| Harold Thomas Hollinger | N1 Advisors independent RIA | M Holdings Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 26, 2023 | May 10, 2023 |
| Brian Robert Schmuke | N1 Advisors other | Msi Financial Services, Inc. other | Other | Oct 2, 2015 | Oct 8, 2015 |
| Brian Jason Carney | N1 Advisors other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 3, 2014 | Jan 2, 2014 |
| Jennifer Hickman Campisi | N1 Advisors other | Sei Investments Management Corp other | Other | May 29, 2012 | May 8, 2012 |
Page 1 of 1
5 moves match.