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 Dorsey & Company 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.

AdvisorFromToTypeLeftRegistered
Raymond Andrew ThompsonDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 31, 2021Dec 5, 2021
Stephen Robert SchullerDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 5, 2021
Julian Saenger RichardsDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 5, 2021
Dean Ernest MorrisDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankDec 3, 2021Oct 7, 2024 (1039 d)
Michael Louis SternDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 3, 2021
Joseph Peter StephensDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 6, 2021
Ned Anthony ChatelainDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 3, 2021
Christopher David BravenderDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 5, 2021
Michael Scott MartinDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 5, 2021
Gregory Michael HollingsworthDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 6, 2021
Edward Church BushDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 3, 2021
John Green ChristmanDorsey & Company Inc. mixed wealthProspera Financial Services, Inc. independent RIARIA to RIADec 3, 2021Dec 3, 2021
Vanessa Elise AltomDorsey & Company Inc. mixed wealthNorthwestern Mutual Investment Services,LLC no RAUMOtherApr 1, 2019Apr 17, 2019
Jeffrey Scott HoltzclawDorsey & Company Inc. otherJ.P. Morgan Securities LLC wirehouseOtherNov 16, 2016Dec 22, 2016 (36 d)
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14 moves match.