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 Wealth Planning, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Mark Levy | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Sep 7, 2023 |
| Phillip Stephen Mahoney | Legacy Wealth Planning, LLC independent RIA | LPL Financial LLC independent RIA | RIA to RIA | Dec 4, 2023 | Oct 31, 2018 |
| Martin Major Mcclellan | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Sep 7, 2023 |
| Jon Bruce Park | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Dec 4, 2023 |
| Christopher Eric Vargas | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Jun 13, 2023 |
| Wendy Ann Hammond | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Jul 19, 2023 |
| Mason Bodie Monroe | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Aug 16, 2023 |
| Elise Marie Levy | Legacy Wealth Planning, LLC independent RIA | Mariner Advisor Network BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2023 | Dec 8, 2023 |
| Steven Edward Rose | Legacy Wealth Planning, LLC independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2022 | Mar 1, 2022 |
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9 moves match.