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 Convergent Financial Strategies 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 |
|---|---|---|---|---|---|
| Carl Stephen Nadwodny | Convergent Financial Strategies LLC independent RIA | Buckingham Strategic Wealth, LLC independent RIA | RIA to RIA | Feb 24, 2023 | Feb 24, 2023 |
| Alan Mark Schapire | Convergent Financial Strategies LLC independent RIA | Buckingham Strategic Wealth, LLC independent RIA | RIA to RIA | Feb 24, 2023 | Feb 24, 2023 |
| Chase Davis | Convergent Financial Strategies LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | May 5, 2022 | Aug 19, 2022 (106 d) |
| Jeffrey Scott Alderfer | Convergent Financial Strategies LLC independent RIA | Concourse Financial Group Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jul 21, 2020 | May 28, 2021 (311 d) |
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4 moves match.