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 Plexus Financial Services, 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 |
|---|---|---|---|---|---|
| Nikki Danyel Walton | Plexus Financial Services, LLC no RAUM | Iht Wealth Management LLC BD affiliated | Other | Apr 9, 2025 | Apr 8, 2025 |
| Pamela D. Appell | Plexus Financial Services, LLC no RAUM | Iht Wealth Management LLC BD affiliated | Other | Apr 9, 2025 | Apr 8, 2025 |
| Keith Richard Hamann | Plexus Financial Services, LLC no RAUM | Iht Wealth Management LLC BD affiliated | Other | Apr 9, 2025 | Apr 8, 2025 |
| Allison Lorraine Law-Tatko | Plexus Financial Services, LLC no RAUM | Gallagher Fiduciary Advisors, LLC institutional | Other | May 31, 2024 | Dec 16, 2024 (199 d) |
| Kathleen Marie Oconnor | Plexus Financial Services, LLC other | LPL Financial LLC other | Other | Aug 22, 2016 | Sep 14, 2016 |
| Michael Keith Smith | Plexus Financial Services, LLC other | Commonwealth Financial Network national BD | Other | Sep 17, 2014 | Jun 28, 2013 |
| Lawrence A Tantilla | Plexus Financial Services, LLC other | Commonwealth Financial Network national BD | Other | Mar 25, 2014 | Jun 28, 2013 |
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7 moves match.