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 Compound Advisers, Inc.

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
Gabriel E GarciaCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Oct 19, 2023
Mark A CecchiniCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Oct 20, 2023
Tara G ShulmanCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Jan 2, 2024 (36 d)
Nicholas Giovanni GarciaCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Oct 25, 2023
Tammy Marie JohnsCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Oct 20, 2023
Marco Gino MirandaCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Oct 20, 2023
Raul RodriguezCompound Advisers, Inc. independent RIACompound Planning, Inc. independent RIARIA to RIANov 27, 2023Oct 20, 2023
Christine Le RaimondCompound Advisers, Inc. independent RIANorthstar Investment Advisory LLC no RAUMOtherSep 13, 2023Jan 8, 2025 (483 d)
Steven Gabriel WalravenCompound Advisers, Inc. independent RIALilac Wealth, LLC state registeredRIA to a state-registered adviserSep 13, 2023Aug 29, 2025 (716 d)
Ryan KlemmCompound Advisers, Inc. independent RIARange Advisory, LLC independent RIARIA to RIASep 13, 2023Feb 26, 2024 (166 d)
Eric Michael SassanoCompound Advisers, Inc. independent RIAPathstone independent RIARIA to RIASep 13, 2023Sep 2, 2026 (1085 d)
Craig Leon BlackwellCompound Advisers, Inc. independent RIAAltar Rock independent RIARIA to RIAJun 6, 2023Jun 17, 2024 (377 d)
Kevin Umesh ShahCompound Advisers, Inc. independent RIAProvence Wealth Management Group independent RIARIA to RIAMar 21, 2022Sep 2, 2022 (165 d)
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13 moves match.