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 B.B. Graham & Company, 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
Anil Kumar MadhyanamB.B. Graham & Company, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJan 14, 2026Jan 14, 2026
Larry James MirandaB.B. Graham & Company, Inc. independent RIAPalo Seco Wealth Management state registeredRIA to a state-registered adviserApr 21, 2025Apr 22, 2025
Christopher John CoghlanB.B. Graham & Company, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 27, 2023Nov 27, 2023
George Nicolas GopiaoB.B. Graham & Company, Inc. independent RIAMiramontes Capital, LLC independent RIARIA to RIAFeb 17, 2023Jan 3, 2024 (320 d)
Steven Richard ElderB.B. Graham & Company, Inc. independent RIALPL Financial LLC independent RIARIA to RIADec 16, 2022Dec 7, 2022
Suzan Elizabeth ElderB.B. Graham & Company, Inc. independent RIALPL Financial LLC independent RIARIA to RIADec 16, 2022Dec 7, 2022
Daniel Robert KruegerB.B. Graham & Company, Inc. independent RIAMoors & Cabot, Inc BD affiliatedRIA to affiliated broker-dealer or bankNov 5, 2021Nov 5, 2021
Robert Edward KellyB.B. Graham & Company, Inc. independent RIAMoors & Cabot, Inc BD affiliatedRIA to affiliated broker-dealer or bankNov 5, 2021Nov 5, 2021
Thomas Frederick McginnisB.B. Graham & Company, Inc. independent RIABelpointe Asset Management LLC independent RIARIA to RIAApr 20, 2020May 6, 2020
Todd Justin MannB.B. Graham & Company, Inc. independent RIABelpointe Asset Management LLC independent RIARIA to RIAApr 2, 2020Mar 13, 2020
Michael Allen BabcockB.B. Graham & Company, Inc. independent RIACambridge Investment Research Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 25, 2019Jul 1, 2019
Michael Joseph DellaportaB.B. Graham & Company, Inc. independent RIANfsg Corporation BD affiliatedRIA to affiliated broker-dealer or bankJul 22, 2019Jul 11, 2019
Ernest Bernard ArnoldB.B. Graham & Company, Inc. independent RIARjj Pasadena Securities, Inc. independent RIARIA to RIAFeb 26, 2019Feb 22, 2019
Jeff J. KimB.B. Graham & Company, Inc. otherSagepoint Financial, Inc. BD affiliatedOtherNov 9, 2017Nov 1, 2017
Jin Huan LiB.B. Graham & Company, Inc. otherFarmers Asset Management, LLC state registeredOtherMar 10, 2017Jan 14, 2026 (3232 d)
Randolph Cienega RodriguezB.B. Graham & Company, Inc. otherCl Wealth Management LLC otherOtherMar 16, 2016Feb 24, 2016
Ernest Junior MiarsB.B. Graham & Company, Inc. otherCommonwealth Financial Network national BDOtherJan 15, 2015Jan 16, 2015
Mark Ryan RugglesB.B. Graham & Company, Inc. otherGraham & Co. Advisory, Inc. state registeredOtherSep 24, 2012Jun 16, 2010
Alex Patner LukoffB.B. Graham & Company, Inc. otherAllstate Financial Advisors, LLC no RAUMOtherMay 31, 2012Jun 22, 2012
Wendy Lesa Gipson-FitzpatrickB.B. Graham & Company, Inc. otherInvestors Capital Advisory otherOtherDec 16, 2009Dec 16, 2009
Timothy Joseph KeaneB.B. Graham & Company, Inc. otherInvestors Capital Advisory otherOtherDec 16, 2009Dec 9, 2009
Matthew LittleB.B. Graham & Company, Inc. otherInvestors Capital Advisory otherOtherDec 16, 2009Dec 8, 2009
Vincent Paul GrimaldiB.B. Graham & Company, Inc. otherInvestors Capital Advisory otherOtherDec 16, 2009Dec 8, 2009
Jason Thomas LongtinB.B. Graham & Company, Inc. otherInvestors Capital Advisory otherOtherDec 16, 2009Dec 16, 2009
Steven Joseph AmicoB.B. Graham & Company, Inc. otherInvestors Capital Advisory otherOtherDec 16, 2009Dec 8, 2009
David Todd HardingB.B. Graham & Company, Inc. otherNext Financial Group, Inc. otherOtherAug 19, 2009Aug 7, 2009
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26 moves match.