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 Legacy Planning & Associates, 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 |
|---|---|---|---|---|---|
| Elizabeth Anne Burgess | Legacy Planning & Associates, Inc. independent RIA | Advisory Advocates LLC independent RIA | RIA to RIA | Dec 31, 2021 | Feb 4, 2021 |
| Michael Randolph Cook | Legacy Planning & Associates, Inc. independent RIA | Advisory Advocates LLC independent RIA | RIA to RIA | Dec 31, 2021 | Feb 4, 2021 |
| Joel David Heinlein | Legacy Planning & Associates, Inc. independent RIA | Regal Investment Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 27, 2018 | Jul 1, 2019 (369 d) |
| Vanessa Trinh Ly | Legacy Planning & Associates, Inc. independent RIA | Oppenheimer & Co. Inc. other | Other | Feb 10, 2017 | Jan 11, 2017 |
| Matthew Philip Erickson | Legacy Planning & Associates, Inc. independent RIA | Renaissance Capital Management, LLC unclassified | Other | Feb 9, 2017 | Jan 22, 2015 |
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5 moves match.