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 Spearhead Capital Advisors, 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.

AdvisorFromToTypeLeftRegistered
Richard Angus WestSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2022Aug 17, 2023 (229 d)
Kenneth Eugene FoleySpearhead Capital Advisors, LLC independent RIASpearhead Administrative Services, LLC no RAUMRIA to a newly registered adviserDec 31, 2022Apr 25, 2022
Alyson Renee KestSpearhead Capital Advisors, LLC independent RIASpearhead Administrative Services, LLC no RAUMRIA to a newly registered adviserDec 31, 2022Apr 27, 2022
David Cook ReynoldsSpearhead Capital Advisors, LLC independent RIASpearhead Administrative Services, LLC otherOtherDec 31, 2022Jan 1, 2025 (732 d)
Patrick Edward WalshSpearhead Capital Advisors, LLC independent RIASpearhead Administrative Services, LLC no RAUMRIA to a newly registered adviserDec 31, 2022Apr 25, 2022
Christopher Lee FineburgSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jun 2, 2022
Jarrett Todd BostwickSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jun 1, 2022
Christopher Adam ShepherdSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Aug 23, 2022 (54 d)
Todd Matthew WaltersSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jun 1, 2022
James Timothy HickeySpearhead Capital Advisors, LLC independent RIAAlternative Risk Strategies LLC unclassifiedOtherJun 30, 2022Jul 22, 2022
Brandon Jason AvergonSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jun 13, 2022
Corey TillerSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jul 21, 2022
Teresa Denise ArmelSpearhead Capital Advisors, LLC independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankJun 30, 2022Jun 14, 2022
Larry Keith AndersSpearhead Capital Advisors, LLC independent RIAGlobal Advisory Partners, LLC state registeredRIA to a state-registered adviserDec 31, 2021Jan 28, 2022
Andrea Beth NavarroSpearhead Capital Advisors, LLC independent RIATlg Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 31, 2021Dec 1, 2023 (700 d)
Michael Thomas RasmussenSpearhead Capital Advisors, LLC independent RIADakota Wealth, LLC independent RIARIA to RIAMay 5, 2020Jun 29, 2020 (55 d)
Gary Lewis KaySpearhead Capital Advisors, LLC independent RIABaseline Wealth Advisors state registeredRIA to a state-registered adviserJul 1, 2019Jul 28, 2025 (2219 d)
Francis Xavier QueallySpearhead Capital Advisors, LLC otherM Holdings Securities, Inc. BD affiliatedOtherAug 2, 2017Aug 28, 2018 (391 d)
Vincent F. GioeniSpearhead Capital Advisors, LLC otherFidelity Personal And Workplace Advisors BD affiliatedOtherNov 20, 2014Apr 29, 2022 (2717 d)
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19 moves match.