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 Focused Wealth Management, Inc.
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 |
|---|---|---|---|---|---|
| Douglas Evory Mendenhall | Focused Wealth Management, Inc. independent RIA | Florida Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 31, 2020 | Jul 13, 2020 (104 d) |
| Jesse Blalock Frehling | Focused Wealth Management, Inc. independent RIA | Altfest Personal Wealth Management independent RIA | RIA to RIA | Mar 4, 2020 | Mar 27, 2020 |
| Jervis Wong | Focused Wealth Management, Inc. other | Morgan Stanley wirehouse | Other | Oct 16, 2017 | Oct 13, 2017 |
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3 moves match.