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 Windrose Advisors 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 |
|---|---|---|---|---|---|
| John Dietrich Haase | Windrose Advisors LLC mixed wealth | Mindoro Capital Partners LLC no RAUM | RIA to a newly registered adviser | Jun 30, 2022 | Feb 22, 2024 (602 d) |
| Todd Haberly | Windrose Advisors LLC independent RIA | Hsbc Securities (USA) Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 21, 2018 | Mar 4, 2020 (530 d) |
| Christopher Barry Roy | Windrose Advisors LLC other | Svb Wealth other | Other | Nov 23, 2016 | Jan 30, 2017 (68 d) |
| Gary Steven Domoracki | Windrose Advisors LLC other | Source Capital Group, Inc. other | Other | Oct 6, 2011 | Jan 3, 2012 (89 d) |
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4 moves match.