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 Dragon Financial 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Vijay C Patel | Dragon Financial Group no RAUM | Mercer Global Advisors Inc. independent RIA | Other | Jul 21, 2020 | Feb 26, 2019 |
| Alfred Ho Fai Au | Dragon Financial Group independent RIA | Diversifi Capital Inc independent RIA | RIA to RIA | Jul 2, 2018 | Dec 23, 2024 (2366 d) |
| Erin Ann Fleming Mccloskey | Dragon Financial Group other | Signator Investors, Inc. other | Other | Jan 25, 2017 | Jul 12, 2017 (168 d) |
| Brandon Geoffry Kurz | Dragon Financial Group other | Aldrich Wealth LP other | Other | Feb 22, 2016 | Mar 7, 2016 |
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4 moves match.