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 Research Financial Strategies

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
J Thomas KnightResearch Financial Strategies independent RIAWinston Paul Capital Management, Inc. state registeredRIA to a state-registered adviserDec 13, 2023Dec 13, 2023
James Cameron MusgraveResearch Financial Strategies independent RIARegal Investment Advisors LLC BD affiliatedRIA to affiliated broker-dealer or bankAug 9, 2022Jun 20, 2023 (315 d)
David Michael GoarResearch Financial Strategies independent RIAPromontory Financial Planning, LLC independent RIARIA to RIAApr 5, 2022Apr 5, 2022
Radon Newton StancilResearch Financial Strategies independent RIAPeace Of Mind Wealth Management no RAUMRIA to a newly registered adviserJan 3, 2022Jan 1, 2022
Mursaleen Mohammad TariqResearch Financial Strategies independent RIAPeace Of Mind Wealth Management no RAUMRIA to a newly registered adviserJan 3, 2022Dec 21, 2021
Earl Williamson GoodResearch Financial Strategies independent RIAVanderbilt Advisory Services BD affiliatedRIA to affiliated broker-dealer or bankOct 28, 2021Oct 28, 2021
Paul Edward LewisResearch Financial Strategies otherTriad Advisors, LLC otherOtherNov 29, 2016Nov 28, 2016
Nathan Caleb LewisResearch Financial Strategies otherTriad Advisors, LLC otherOtherNov 29, 2016Nov 29, 2016
Roberta Keating WelshResearch Financial Strategies otherLPL Financial LLC otherOtherJul 25, 2016Jul 15, 2016
Elaine RoeckleinResearch Financial Strategies otherCambridge Investment Research Advisors, Inc. otherOtherMay 3, 2016May 2, 2016
Bryan Allen SarffResearch Financial Strategies otherTrue Wealth & Company independent RIAOtherJul 2, 2015Mar 27, 2015
Brian Thomas PaulsenResearch Financial Strategies otherTrue Wealth & Company independent RIAOtherJul 2, 2015Jun 29, 2015
Faith Goldman RashResearch Financial Strategies otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 12, 2015Jan 11, 2016 (364 d)
Scott A BishopResearch Financial Strategies otherAvidian Wealth Solutions otherOtherApr 2, 2014Apr 14, 2014
Chandra Alexis BurnsResearch Financial Strategies otherAvidian Wealth Solutions otherOtherApr 2, 2014Apr 8, 2014
Judy Lee EsauResearch Financial Strategies otherPrivate Advisor Group, LLC otherOtherAug 3, 2012Aug 3, 2012
Christopher Michael RuspiResearch Financial Strategies otherApplied Financial Wisdom no RAUMOtherAug 3, 2012Jun 20, 2012
Mark Philip SkibbieResearch Financial Strategies otherLPL Financial LLC otherOtherAug 3, 2012Aug 8, 2012
Ronald Eugene FisherResearch Financial Strategies otherPrivate Advisor Group, LLC otherOtherAug 3, 2012Jul 31, 2012
Michael Charles MattisonResearch Financial Strategies otherPlanvest Financial, Inc. no RAUMOtherAug 3, 2012Jan 2, 2018 (1978 d)
Michael Anthony D'AndreaResearch Financial Strategies otherIndependent Financial Partners otherOtherAug 3, 2012Aug 1, 2012
John Anthony MezzulloResearch Financial Strategies otherApplied Financial Wisdom no RAUMOtherAug 3, 2012Jul 30, 2012
Jaideep ChawlaResearch Financial Strategies otherIndependent Financial Partners otherOtherAug 3, 2012Jun 28, 2012
James Anthony ParrishResearch Financial Strategies otherB Riley Wealth Management otherOtherJul 31, 2012Jul 9, 2012
Pamela Diane MoreResearch Financial Strategies otherVerus Capital Partners, LLC otherOtherDec 12, 2011Aug 3, 2011
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25 moves match.