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 Castle Rock Wealth 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 |
|---|---|---|---|---|---|
| Michal B Caro | Castle Rock Wealth Management, LLC independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2019 | Sep 4, 2019 |
| Daniel William Worthington | Castle Rock Wealth Management, LLC independent RIA | Gwn Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 29, 2019 | Sep 18, 2019 (51 d) |
| Anthony Rod Ortale | Castle Rock Wealth Management, LLC other | Fisher Investments other | Other | Mar 29, 2017 | Dec 12, 2017 (258 d) |
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3 moves match.