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 Arthur Stein Financial, 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 |
|---|---|---|---|---|---|
| Arthur Stein | Arthur Stein Financial, LLC independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 1, 2026 |
| Paul Robert Cusumano | Arthur Stein Financial, LLC independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 1, 2026 |
| Zachary Brandon Smythe | Arthur Stein Financial, LLC independent RIA | Allworth Financial, L.P. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 1, 2026 |
| Tanya Elizabeth Rapacz | Arthur Stein Financial, LLC independent RIA | The Advisory Group Of San Francisco, LLC independent RIA | RIA to RIA | Nov 28, 2023 | Nov 29, 2023 |
| Aubrey Hix Carlisle | Arthur Stein Financial, LLC independent RIA | Upright Financial, LLC unclassified | Other | Jul 16, 2018 | Aug 28, 2018 (43 d) |
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5 moves match.