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 North Capital

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
Nicholas Brian SteckleinNorth Capital independent RIADiversify Wealth Management, LLC independent RIARIA to RIAJun 10, 2024Mar 10, 2025 (273 d)
Juan A GarciaNorth Capital independent RIAMorgan Stanley wirehouseRIA to wirehouseOct 25, 2022Oct 25, 2022
Bridgot Sharon BasileNorth Capital independent RIARBC Capital Markets, LLC national BDRIA to affiliated broker-dealer or bankApr 21, 2021Apr 19, 2021
Frances Evans HarkinsNorth Capital independent RIAWheels Up Wealth, Inc. independent RIARIA to RIAJun 26, 2020Jan 15, 2025 (1664 d)
Justine Donna ElieNorth Capital independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 18, 2020Jul 8, 2021 (385 d)
Craig Keith GoosNorth Capital otherHondius Capital Management, LP asset managerOtherJun 22, 2017Sep 9, 2024 (2636 d)
Ryan Rand TingeyNorth Capital otherCuso Financial Services, L.P. otherOtherNov 7, 2014Nov 10, 2014
Elean Manuel MendozaNorth Capital otherKayne Anderson Rudnick Investment Management, LLC otherOtherDec 4, 2012Jan 13, 2014 (405 d)
Robin Ticknor BrinckerhoffNorth Capital otherWells Fargo Advisors wirehouseOtherJun 13, 2011Jul 18, 2011 (35 d)
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9 moves match.