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 Ethic Wealth Advisors LLC
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 |
|---|---|---|---|---|---|
| Scott Michael Schwalbert | Ethic Wealth Advisors LLC no RAUM | UBS Financial Services Inc. wirehouse | Other | Sep 10, 2021 | Oct 26, 2022 (411 d) |
| Gregory M Oconnell | Ethic Wealth Advisors LLC no RAUM | M Holdings Securities, Inc. BD affiliated | Other | Aug 20, 2021 | Jan 30, 2023 (528 d) |
| Matthew Stephen Morse | Ethic Wealth Advisors LLC no RAUM | Clarendon Private LLC no RAUM | Other | Jun 3, 2021 | Oct 25, 2021 (144 d) |
| Andrew Christian Ivens | Ethic Wealth Advisors LLC no RAUM | First Citizens Investor Services, Inc. BD affiliated | Other | Apr 2, 2021 | May 15, 2025 (1504 d) |
| William Alfred Haggard | Ethic Wealth Advisors LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 6, 2020 | Jan 26, 2021 (204 d) |
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5 moves match.