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 North Ridge Securities Corp.
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 |
|---|---|---|---|---|---|
| Jeffrey Charles Lewis | North Ridge Securities Corp. independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2019 | Jun 29, 2023 (1606 d) |
| Howard Genden | North Ridge Securities Corp. independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2019 | Jun 29, 2023 (1606 d) |
| Marc Andrew Stein | North Ridge Securities Corp. independent RIA | Cetera Advisor Networks LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2019 | Jan 23, 2019 |
| Joseph Hiram Clinard | North Ridge Securities Corp. independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 4, 2019 | Jun 29, 2023 (1606 d) |
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4 moves match.