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 401k Generation
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 |
|---|---|---|---|---|---|
| Roy Edward Kelsey | 401k Generation independent RIA | Cape Investment Advisory, Inc. independent RIA | RIA to RIA | Mar 1, 2019 | Mar 1, 2019 |
| John Bradley Weis | 401k Generation independent RIA | Cape Investment Advisory, Inc. independent RIA | RIA to RIA | Feb 21, 2019 | Jan 8, 2021 (687 d) |
| Robert Firmin Farragher | 401k Generation independent RIA | Cape Investment Advisory, Inc. independent RIA | RIA to RIA | Feb 13, 2019 | Jan 20, 2026 (2533 d) |
| Brian Campanile | 401k Generation other | Charles Schwab & Co., Inc. national BD | Other | Feb 27, 2015 | Jul 26, 2016 (515 d) |
| Thomas Huey Ruggie | 401k Generation other | Asset Advisors Of America, LLC no RAUM | Other | Jun 10, 2014 | Dec 19, 2013 |
| Morgan Aileen Hatfield | 401k Generation other | Destiny Wealth Partners, LLC other | Other | Jun 10, 2014 | Apr 6, 2015 (300 d) |
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6 moves match.