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 B.A. Roberts Financial Services, Inc.
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 |
|---|---|---|---|---|---|
| Jon Charles Mommaerts | B.A. Roberts Financial Services, Inc. independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2025 | Apr 7, 2025 |
| Jason John Rolling | B.A. Roberts Financial Services, Inc. independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2025 | Apr 8, 2025 |
| Haley Reed Wainio | B.A. Roberts Financial Services, Inc. independent RIA | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2025 | Apr 7, 2025 |
| Joseph Matthew Tuccini | B.A. Roberts Financial Services, Inc. independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Nov 14, 2023 | Jan 22, 2024 (69 d) |
| Amy Buck | B.A. Roberts Financial Services, Inc. independent RIA | Osaic Institutions, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 14, 2022 | Aug 5, 2022 (52 d) |
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5 moves match.