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 Lake Street

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
Jacob Lee HartkeLake Street independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 30, 2026Feb 2, 2026
Stephen Matthew WeberLake Street independent RIAVestgen Advisors, LLC independent RIARIA to RIASep 20, 2024Sep 22, 2024
Brian Nicholas DegradoLake Street independent RIAVestgen Advisors, LLC independent RIARIA to RIASep 20, 2024Sep 22, 2024
Erik GutierrezLake Street independent RIAVestgen Advisors, LLC independent RIARIA to RIASep 20, 2024Sep 22, 2024
Matthew HeiseLake Street independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseSep 21, 2020Nov 21, 2022 (791 d)
Bradley Charles TippleLake Street independent RIAApi Financial Advisors, LLC independent RIARIA to RIAJul 23, 2020Apr 8, 2021 (259 d)
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6 moves match.