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 Principle Wealth

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
Louis T NisticoPrinciple Wealth independent RIAMjp Wealth Advisors independent RIARIA to RIAApr 6, 2023Jun 12, 2023 (67 d)
Martin J WollackPrinciple Wealth independent RIAMorgan Stanley wirehouseRIA to wirehouseJan 5, 2022Jan 21, 2022
Lizabeth L DregaPrinciple Wealth independent RIAMorgan Stanley wirehouseRIA to wirehouseSep 15, 2021Oct 13, 2021
Kevin Joseph LoobyPrinciple Wealth independent RIAB. Riley Wealth Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 17, 2020Jan 3, 2020
Patricia Lynn BradyPrinciple Wealth independent RIAHightower Advisors, LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 25, 2019Nov 24, 2020 (396 d)
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5 moves match.