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 Sharebuilder 401k
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 |
|---|---|---|---|---|---|
| James Tian-Hwa Shen | Sharebuilder 401k no RAUM | Forusall institutional | Other | Mar 9, 2026 | Mar 18, 2026 |
| Suzanne Buchanan Taylor | Sharebuilder 401k no RAUM | Composition Wealth, LLC independent RIA | Other | Mar 7, 2022 | Nov 22, 2022 (260 d) |
| Kelly Lee Ausburn | Sharebuilder 401k no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Feb 1, 2021 | Mar 1, 2021 |
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3 moves match.