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 Roth Capital Partners, 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 |
|---|---|---|---|---|---|
| James Patrick Kozak | Roth Capital Partners, LLC state registered | Robertson Stephens Advisors other | Other | Sep 30, 2015 | Oct 12, 2015 |
| Gordon Eliot Fallone | Roth Capital Partners, LLC state registered | Robertson Stephens Advisors other | Other | Sep 18, 2015 | Oct 12, 2015 |
| Sharon Yu | Roth Capital Partners, LLC state registered | Hsbc Securities (USA) Inc. other | Other | Apr 27, 2015 | May 6, 2015 |
| Peter Sean Mcdonnell | Roth Capital Partners, LLC state registered | Ip Financial Advisory Services LLC BD affiliated | Other | Apr 2, 2015 | Oct 1, 2024 (3470 d) |
| Peter Raymond Fogarty | Roth Capital Partners, LLC state registered | Paulson Investment Advisors, LLC unclassified | Other | Jan 30, 2015 | Feb 20, 2020 (1847 d) |
| John Peter Ferrick | Roth Capital Partners, LLC state registered | Ausdal Financial Partners, Inc. other | Other | Nov 12, 2013 | Jan 6, 2014 (55 d) |
| Yves-Marc Courtines | Roth Capital Partners, LLC state registered | Boundless Advice LLC state registered | Other | Jun 20, 2013 | Dec 8, 2017 (1632 d) |
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7 moves match.