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 One Advocate Group

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
Thomas Howard OliphintOne Advocate Group independent RIACovenant independent RIARIA to RIASep 14, 2021Jan 12, 2021
David Richard WallaceOne Advocate Group independent RIACovenant independent RIARIA to RIASep 14, 2021Jan 19, 2021
Reid Pratt GuthrieOne Advocate Group independent RIAUnited Capital Financial Advisors BD affiliatedRIA to affiliated broker-dealer or bankMar 30, 2020Mar 4, 2021 (339 d)
Edward Jason JaaxOne Advocate Group independent RIACapital Management Services, Inc. independent RIARIA to RIADec 31, 2019Dec 11, 2019
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4 moves match.