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 Monorail Securities 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
Shelly Wentz-FacklerMonorail Securities LLC independent RIAFlorio Wealth Management, LLC state registeredRIA to a state-registered adviserFeb 3, 2022Feb 1, 2023 (363 d)
Gabriel Isaac KaufmannMonorail Securities LLC independent RIAHd Money, Inc. independent RIARIA to RIAFeb 3, 2022Feb 8, 2022
Stephen McleodMonorail Securities LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 3, 2021Dec 13, 2021
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3 moves match.