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 Nms Capital Asset 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.

AdvisorFromToTypeLeftRegistered
Sean L DesmaraisNms Capital Asset Management, Inc. otherMorgan Stanley wirehouseOtherAug 27, 2018Jul 22, 2019 (329 d)
H Justin DrobenaireNms Capital Asset Management, Inc. otherFalcon Bridge Capital otherOtherJul 11, 2018Jan 1, 2026 (2731 d)
Stacey Lynn LavenderNms Capital Asset Management, Inc. otherHarbor Financial Services, LLC independent RIAOtherMay 24, 2018Jun 8, 2018
Thomas J CatalanoNms Capital Asset Management, Inc. otherHilton Head Wealth Advisors, LLC state registeredOtherDec 31, 2017May 19, 2018 (139 d)
Anne TahimNms Capital Asset Management, Inc. otherArque Capital, Ltd. unclassifiedOtherMar 10, 2015Jul 7, 2011
Roman LaraNms Capital Asset Management, Inc. otherValic Financial Advisors, Inc. otherOtherNov 20, 2014Jan 21, 2015 (62 d)
Michael Alexander NahassNms Capital Asset Management, Inc. otherArque Capital, Ltd. unclassifiedOtherOct 4, 2011Jun 2, 2011
Minez PowellNms Capital Asset Management, Inc. otherWells Fargo Advisors wirehouseOtherSep 22, 2011Jul 11, 2011
Spencer Schreiber MillerNms Capital Asset Management, Inc. otherNew England Securities Corporation otherOtherDec 17, 2010Mar 23, 2011 (96 d)
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9 moves match.