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 Financial Guard, 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 |
|---|---|---|---|---|---|
| Roger Nmn Paradiso | Financial Guard, LLC independent RIA | O'Shaughnessy Asset Management, LLC mixed wealth | RIA to RIA | Nov 30, 2022 | Jul 22, 2022 |
| Ann Bands Doyle | Financial Guard, LLC other | Clearbridge Investments, LLC mixed wealth | Other | Jun 7, 2018 | Jan 17, 2024 (2050 d) |
| James Rex Ivie | Financial Guard, LLC no RAUM | Alpine Advisors, LLC unclassified | Other | Dec 31, 2012 | Oct 2, 2012 |
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3 moves match.