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 Occidental Asset Management, 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 |
|---|---|---|---|---|---|
| Holly Gillian Kindel | Occidental Asset Management, LLC independent RIA | Prospettiva Financial independent RIA | RIA to RIA | Jul 2, 2019 | Jul 2, 2019 |
| Jason Ferris Jeung | Occidental Asset Management, LLC independent RIA | Seacrest Wealth Management, LLC independent RIA | RIA to RIA | May 2, 2019 | Jan 1, 2025 (2071 d) |
| Youxi Zeren | Occidental Asset Management, LLC other | Wells Fargo Advisors wirehouse | Other | Jun 8, 2017 | Jun 28, 2017 |
| Brian Davis | Occidental Asset Management, LLC other | Wealth Enhancement Advisory Services, LLC other | Other | May 24, 2017 | Dec 18, 2017 (208 d) |
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4 moves match.