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 Clg 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
Dale Bruce EichmanClg LLC independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 5, 2024Jun 29, 2023
Ian M GroveClg LLC independent RIARobert Green & Company unclassifiedOtherJul 6, 2021Jul 6, 2021
Michael Thomas McdaidClg LLC independent RIACetera Advisor Networks LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 1, 2020Dec 18, 2019
Harry Martin KitterClg LLC independent RIALPL Financial LLC independent RIARIA to RIAMay 1, 2018May 1, 2018
Alison K SabranClg LLC independent RIALPL Financial LLC independent RIARIA to RIAMay 1, 2018May 1, 2018
Jemuel M AbarientosClg LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 14, 2017Jan 3, 2018
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6 moves match.