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 Harbor Investment Advisory, LLC
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 |
|---|---|---|---|---|---|
| Susan Amanda Frillman | Harbor Investment Advisory, LLC mixed wealth | RBC Capital Markets, LLC national BD | RIA to affiliated broker-dealer or bank | Jan 2, 2024 | Jan 2, 2024 |
| Craig Lee Martin | Harbor Investment Advisory, LLC mixed wealth | Kawg&F Financial Planning Group LLC state registered | RIA to a state-registered adviser | Oct 4, 2022 | Oct 12, 2022 |
| Elizabeth Brennen | Harbor Investment Advisory, LLC mixed wealth | A.G. Campbell Advisory, LLC independent RIA | RIA to RIA | Dec 31, 2019 | Oct 28, 2020 (302 d) |
| Megan Lee Mullan | Harbor Investment Advisory, LLC mixed wealth | T. Rowe Price Associates, Inc. asset manager | Other | Dec 31, 2019 | Jan 22, 2020 |
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4 moves match.