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 R. F. Lafferty & Co., Inc.
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 |
|---|---|---|---|---|---|
| Michael James Bartolotta | R. F. Lafferty & Co., Inc. mixed wealth | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Dec 14, 2022 | Dec 9, 2022 |
| Christopher George Hamilton | R. F. Lafferty & Co., Inc. independent RIA | Empire Financial Management Company, LLC independent RIA | RIA to RIA | Feb 25, 2019 | Feb 28, 2019 |
| George Gregory Casey | R. F. Lafferty & Co., Inc. other | Moloney Securities Asset Management LLC no RAUM | Other | Jun 23, 2016 | Jun 16, 2016 |
| John Glyn Evans | R. F. Lafferty & Co., Inc. other | Hudson Capital Management Inc. state registered | Other | Mar 2, 2016 | Jan 4, 2022 (2134 d) |
| Daniel B Geehan | R. F. Lafferty & Co., Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 24, 2010 | Feb 16, 2011 (84 d) |
| Marc Frost | R. F. Lafferty & Co., Inc. other | Capital Financial Services, Inc. other | Other | Dec 31, 2008 | Jan 5, 2009 |
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6 moves match.