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 Lucia Capital Group

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
David Wohl	Lucia Capital Group other	Northwestern Mutual Investment Services,LLC other	Other	Apr 3, 2012	Aug 17, 2012 (136 d)
Jeremy David Gottlieb	Lucia Capital Group other	Independent Financial Partners other	Other	Dec 13, 2011	Jan 9, 2012
Rodd Robert Miller	Lucia Capital Group other	LPL Financial LLC other	Other	Nov 18, 2011	Nov 17, 2011
Anthony Franklin Artero	Lucia Capital Group other	First Allied Securities, Inc. other	Other	Jul 28, 2011	Aug 3, 2011
Nicholas Kolitsidas	Lucia Capital Group other	First Allied Securities, Inc. other	Other	Jul 28, 2011	Aug 3, 2011
John Joseph Parrillo	Lucia Capital Group other	First Allied Securities, Inc. other	Other	Mar 16, 2011	Mar 15, 2011
Sean Michael O'Connor	Lucia Capital Group other	Financial Designs Ltd. unclassified	Other	Jan 12, 2011	Jun 23, 2011 (162 d)
Joseph Alan Koehler	Lucia Capital Group other	Chase Investment Services Corp. other	Other	Nov 30, 2010	Mar 9, 2011 (99 d)
Robert Owen Radford	Lucia Capital Group other	Cambridge Investment Research Advisors, Inc. other	Other	Jul 16, 2010	Aug 31, 2010 (46 d)

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69 moves match.