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 Herndon Plant Oakley Ltd
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 |
|---|---|---|---|---|---|
| Kimmie Jo Mathis-Doumis | Herndon Plant Oakley Ltd other | Oxbow Advisors, LLC no RAUM | Other | Apr 23, 2015 | Mar 8, 2012 |
| Thomas Milton Crain | Herndon Plant Oakley Ltd other | Oxbow Advisors, LLC other | Other | Apr 23, 2015 | Mar 7, 2014 |
| Alexander Webster Pierce | Herndon Plant Oakley Ltd other | Oxbow Advisors, LLC no RAUM | Other | Apr 23, 2015 | Jun 8, 2011 |
| Herbert Gaylon Boyd | Herndon Plant Oakley Ltd other | Wells Fargo Advisors wirehouse | Other | Mar 9, 2007 | May 13, 2009 (796 d) |
Page 1 of 1
4 moves match.