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 Southeast Investments, N.C., 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
Spencer Odom HawkinsSoutheast Investments, N.C., Inc. state registeredSpencer Hawkins Investment Adviser, LLC state registeredOtherAug 27, 2018Nov 7, 2018 (72 d)
Richard Michael SebastianSoutheast Investments, N.C., Inc. state registeredOak Mountain Capital Partners unclassifiedOtherDec 31, 2015Dec 21, 2015
Gina Marie Sebastian EibestSoutheast Investments, N.C., Inc. state registeredGwn Securities Inc. otherOtherDec 18, 2015Jan 4, 2016
Howard RothsteinSoutheast Investments, N.C., Inc. state registeredAmerican Portfolios Advisors, Inc otherOtherFeb 23, 2015Jul 30, 2015 (157 d)
Richard Neil YountsSoutheast Investments, N.C., Inc. state registeredRaymond James Financial Services Advisors, Inc otherOtherNov 18, 2014Feb 26, 2016 (465 d)
Scott Owen McdonaldSoutheast Investments, N.C., Inc. state registeredMML Investors Services, LLC otherOtherNov 18, 2014Mar 30, 2015 (132 d)
John David RoegnerSoutheast Investments, N.C., Inc. state registeredSavant Wealth Management otherOtherApr 2, 2014Sep 8, 2014 (159 d)
Craig Arnold SorensonSoutheast Investments, N.C., Inc. state registered1st Consumer Advisory Group LLC no RAUMOtherJan 10, 2014Jan 10, 2014
David Kent PrewetteSoutheast Investments, N.C., Inc. state registeredFinancial Security Advisory Inc otherOtherDec 31, 2013Jan 9, 2014
Rodney L. WatkinsSoutheast Investments, N.C., Inc. state registeredWatkins And Associates Investment Services, LLC unclassifiedOtherOct 21, 2013Aug 11, 2014 (294 d)
Rajeev S PanditSoutheast Investments, N.C., Inc. state registeredSterne Agee Investment Advisor Services, Inc. otherOtherSep 30, 2013Oct 1, 2013
David A FlynnSoutheast Investments, N.C., Inc. state registeredSterne Agee Investment Advisor Services, Inc. otherOtherJun 28, 2013Jul 1, 2013
John Thomas TurnerSoutheast Investments, N.C., Inc. state registeredHorter Investment Management, LLC otherOtherApr 10, 2013Oct 7, 2015 (910 d)
Kevin Earl SkaltsisSoutheast Investments, N.C., Inc. state registeredForesters Equity Services, Inc. otherOtherSep 4, 2012May 12, 2014 (615 d)
Marc Harris BettingerSoutheast Investments, N.C., Inc. state registeredCreative Financial Designs, Inc. otherOtherNov 11, 2011Nov 23, 2011
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15 moves match.