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 Oak Tree Financial Services, 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 |
|---|---|---|---|---|---|
| Ronnie Paul Moody | Oak Tree Financial Services, LLC independent RIA | Ifg Advisory, LLC independent RIA | RIA to RIA | Dec 31, 2023 | Dec 11, 2023 |
| Brian Andrew Moody | Oak Tree Financial Services, LLC independent RIA | Ifg Advisory, LLC independent RIA | RIA to RIA | Dec 31, 2023 | Dec 11, 2023 |
| Richard Daniel Gregory | Oak Tree Financial Services, LLC independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 2, 2023 | Oct 4, 2023 |
| Jonathan Scott Hornsby | Oak Tree Financial Services, LLC independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2023 | Aug 1, 2023 |
| Miranda Yount | Oak Tree Financial Services, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Aug 21, 2018 | Dec 14, 2018 (115 d) |
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5 moves match.