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 Mutual 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
Joshua Robert William TarrMutual Advisors, LLC BD affiliatedCreative Planning independent RIAAffiliated broker-dealer or bank to independent RIADec 7, 2018Feb 8, 2019 (63 d)
Patricia Elizabeth PhippsMutual Advisors, LLC BD affiliatedKovack Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 2, 2018Jan 1, 2026 (2617 d)
Richard Wayne PlamondonMutual Advisors, LLC BD affiliatedLazari Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 4, 2018Oct 9, 2018
Gary Lyle PeveyMutual Advisors, LLC otherAfs Investments state registeredOtherMay 23, 2016Jan 7, 2023 (2420 d)
Steven Samuel WittenbergMutual Advisors, LLC otherRegan Financial Group, LLC unclassifiedOtherJul 30, 2015Aug 12, 2015
Jeffrey David HettingerMutual Advisors, LLC otherPrimerica Advisors national BDOtherJul 2, 2015Mar 3, 2016 (245 d)
Zahid SadiqMutual Advisors, LLC otherMercer Global Advisors Inc. otherOtherFeb 9, 2015Feb 10, 2015
Warren Wayne LockeMutual Advisors, LLC otherAmeriprise Financial Services, LLC national BDOtherJul 25, 2014Jul 25, 2014
Sammy Kuo Chiang SungMutual Advisors, LLC otherAle LLC state registeredOtherJul 8, 2013Oct 16, 2015 (830 d)
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69 moves match.