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 Old Peak Finance
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 |
|---|---|---|---|---|---|
| Maryanne Gucciardi | Old Peak Finance independent RIA | Wealthmind Financial Planning state registered | RIA to a state-registered adviser | Jul 5, 2023 | Dec 8, 2023 (156 d) |
| Kathleen Jessica Villegas | Old Peak Finance independent RIA | Ellevest independent RIA | RIA to RIA | May 18, 2023 | May 23, 2023 |
| Jo Beth Mullens | Old Peak Finance independent RIA | Verity Asset Management independent RIA | RIA to RIA | Apr 19, 2022 | Apr 3, 2024 (715 d) |
| Kent Jamieson Fisher | Old Peak Finance independent RIA | Mutual Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 17, 2019 | Jun 14, 2019 |
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4 moves match.