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 Sunpointe Investments
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 |
|---|---|---|---|---|---|
| Douglas Andrew Nelson | Sunpointe Investments independent RIA | RBC Capital Markets, LLC national BD | RIA to affiliated broker-dealer or bank | Jul 1, 2026 | Jul 2, 2026 |
| Corey Willard Wangler | Sunpointe Investments independent RIA | Paragon Investing, LLC independent RIA | RIA to RIA | Jul 5, 2022 | Jan 30, 2025 (940 d) |
| Dennis R Hammond | Sunpointe Investments independent RIA | First Trust Direct Indexing independent RIA | RIA to RIA | May 13, 2019 | May 9, 2019 |
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3 moves match.