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 Legacy Pcg, 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
Bruce Allan FrankelLegacy Pcg, LLC independent RIAParallel Advisors, LLC independent RIARIA to RIAJul 22, 2024Dec 19, 2024 (150 d)
Nicholas BobroffLegacy Pcg, LLC independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankJun 4, 2024Apr 29, 2025 (329 d)
Todd Eric LunsfordLegacy Pcg, LLC independent RIAAxxcess Wealth Management, LLC independent RIARIA to RIAAug 15, 2023Jul 14, 2023
Daniel (Nmn) GuillenLegacy Pcg, LLC independent RIAInternational Private Wealth Advisors LLC no RAUMRIA to a newly registered adviserApr 17, 2023Sep 30, 2022
Victor David RussellLegacy Pcg, LLC independent RIAMavros Capital Management, LLC no RAUMRIA to a newly registered adviserMar 16, 2023Sep 18, 2023 (186 d)
Louis (Nmn) BarajasLegacy Pcg, LLC independent RIAInternational Private Wealth Advisors LLC no RAUMRIA to a newly registered adviserMar 1, 2023Sep 29, 2022
Daniel Jay ShainbergLegacy Pcg, LLC independent RIAHeritage Wealth Management, Inc. independent RIARIA to RIAAug 24, 2018Feb 24, 2025 (2376 d)
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7 moves match.