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 Croak Capital
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 |
|---|---|---|---|---|---|
| Faith T Kieninger | Croak Capital independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 23, 2025 | Dec 15, 2025 |
| Nicklas E Norvell | Croak Capital independent RIA | Sound Income Strategies, LLC independent RIA | RIA to RIA | Feb 23, 2023 | Jul 19, 2023 (146 d) |
| Thomas Michael Giovanoli | Croak Capital independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 11, 2022 | Apr 27, 2022 (106 d) |
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3 moves match.