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 Financial Resource Management, 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 |
|---|---|---|---|---|---|
| James Kevin Johnston | Financial Resource Management, Inc. other | Arete Wealth Advisors, LLC BD affiliated | Other | Dec 31, 2022 | Jan 5, 2023 |
| Jonathan Robert Fratesi | Financial Resource Management, Inc. other | Arete Wealth Advisors, LLC BD affiliated | Other | Dec 31, 2022 | Jan 5, 2023 |
| Amy Lue Henthorn Powell | Financial Resource Management, Inc. other | LPL Financial LLC BD affiliated | Other | Feb 23, 2021 | Mar 15, 2021 |
Page 1 of 1
3 moves match.