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 Tri-Star Financial
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 |
|---|---|---|---|---|---|
| Mark Steven Rothstein | Tri-Star Financial independent RIA | Independent Financial Group, LLC other | Other | Mar 6, 2020 | Dec 16, 2013 |
| Maggie Xie Lauer | Tri-Star Financial independent RIA | Independent Financial Group, LLC independent RIA | RIA to RIA | Mar 6, 2020 | Sep 26, 2019 |
| Mark Andrew Wiacek | Tri-Star Financial other | Cl Wealth Management LLC other | Other | Aug 16, 2017 | Sep 26, 2017 (41 d) |
| Joshua Martin Sailar | Tri-Star Financial other | Composition Wealth, LLC other | Other | Apr 19, 2016 | Apr 20, 2016 |
| Mark Steven Rothstein | Tri-Star Financial other | Centaurus Financial, Inc. other | Other | Dec 31, 2010 | Jul 28, 2010 |
Page 1 of 1
5 moves match.