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 Ucap Americas
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 |
|---|---|---|---|---|---|
| Robert David Haggard | Ucap Americas independent RIA | Apollon Wealth Management, LLC independent RIA | RIA to RIA | Oct 3, 2024 | Sep 18, 2024 |
| James Michael Jiao | Ucap Americas independent RIA | Insigneo Advisory Services, LLC mixed wealth | RIA to RIA | Dec 31, 2022 | Jan 4, 2023 |
| Iris Sanguinetti | Ucap Americas independent RIA | Consultiva Wealth Management, Corp. other | Other | Jul 19, 2022 | Aug 2, 2022 |
| Oscar David Flores De Valgaz | Ucap Americas independent RIA | Legado Wealth Management LLC asset manager | Other | Aug 12, 2021 | May 7, 2021 |
| Gino Russo | Ucap Americas mixed wealth | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 16, 2021 | Feb 25, 2022 (346 d) |
| Aroldo Balbino | Ucap Americas mixed wealth | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 22, 2021 | Aug 26, 2021 (216 d) |
| Dmitri Victor Efimov | Ucap Americas mixed wealth | Consultiva Wealth Management, Corp. other | Other | Nov 11, 2020 | Jul 28, 2022 (624 d) |
| Luis Jacob Alayo Riera | Ucap Americas mixed wealth | The Atlas Financial Group mixed wealth | RIA to RIA | Jul 10, 2020 | Oct 10, 2025 (1918 d) |
| Juan Felipe Rodriguez Osorio | Ucap Americas mixed wealth | Compass Group Investments Solutions LLC mixed wealth | RIA to RIA | Apr 3, 2020 | Dec 2, 2021 (608 d) |
| Juan Manuel Doria | Ucap Americas mixed wealth | Mora Capital Management, LLC independent RIA | RIA to RIA | Jun 21, 2018 | Jun 7, 2018 |
| Nicholas Patrick Salas | Ucap Americas other | Bci Securities, Inc. mixed wealth | Other | Dec 31, 2017 | Oct 25, 2017 |
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11 moves match.