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 Ross, Sinclaire & Associates, 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.

AdvisorFromToTypeLeftRegistered
Stanley James KatzRoss, Sinclaire & Associates, LLC independent RIAOneseven independent RIARIA to RIADec 6, 2021Oct 28, 2021
Justin David HennessyRoss, Sinclaire & Associates, LLC independent RIAF/M Investments LLC mixed wealthRIA to RIADec 6, 2021Aug 25, 2020
Lauren Katz MaderaRoss, Sinclaire & Associates, LLC independent RIAOneseven independent RIARIA to RIADec 6, 2021Oct 28, 2021
Sarah Katherine BrowneRoss, Sinclaire & Associates, LLC independent RIAF/M Investments LLC asset managerOtherOct 15, 2021Jul 16, 2020
Peter Paul BadenRoss, Sinclaire & Associates, LLC independent RIAF/M Investments LLC asset managerOtherSep 17, 2020Jul 16, 2020
Rick BellRoss, Sinclaire & Associates, LLC independent RIAF/M Investments LLC asset managerOtherAug 26, 2020Jul 16, 2020
Michael Scott GamesRoss, Sinclaire & Associates, LLC independent RIASei Investments Management Corp otherOtherJun 15, 2020Jul 8, 2020
Peter Eugene RainesRoss, Sinclaire & Associates, LLC independent RIABernardi Asset Management, LLC mixed wealthRIA to RIAJun 15, 2020Dec 11, 2023 (1274 d)
Bruce C CorwinRoss, Sinclaire & Associates, LLC independent RIAFirst Kentucky Securities Corp independent RIARIA to RIAJun 1, 2020May 29, 2020
Bradley Clark PickrellRoss, Sinclaire & Associates, LLC independent RIAFirst Kentucky Securities Corp independent RIARIA to RIAJun 1, 2020May 29, 2020
Martha L WeeksRoss, Sinclaire & Associates, LLC independent RIAFirst Kentucky Securities Corp independent RIARIA to RIAJun 1, 2020May 29, 2020
Bradley Clark PickrellRoss, Sinclaire & Associates, LLC independent RIAFirst Kentucky Securities Corp independent RIARIA to RIAMar 26, 2020Mar 27, 2020
Kevin David ThompsonRoss, Sinclaire & Associates, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseMar 2, 2020Mar 4, 2020
Eric Ralph PrallRoss, Sinclaire & Associates, LLC independent RIAHilltop Securities Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 20, 2018Nov 19, 2018
John J TerlauRoss, Sinclaire & Associates, LLC otherLPL Financial LLC otherOtherJul 11, 2017Jul 10, 2017
Omar GanoomRoss, Sinclaire & Associates, LLC other1914 Advisors otherOtherAug 14, 2015Aug 17, 2015
Carl David RobinsonRoss, Sinclaire & Associates, LLC otherIndependent Portfolio Consultants, Inc. otherOtherJan 22, 2014Dec 11, 2014 (323 d)
Eric BentleyRoss, Sinclaire & Associates, LLC otherEdward Jones national BDOtherDec 13, 2011Feb 13, 2012 (62 d)
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18 moves match.