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 Thoroughbred Financial Services, 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 |
|---|---|---|---|---|---|
| Michael G Jackie | Thoroughbred Financial Services, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | May 14, 2024 | Sep 10, 2024 (119 d) |
| Tammy B Paxton | Thoroughbred Financial Services, LLC other | MML Investors Services, LLC other | Other | Dec 31, 2008 | Jan 16, 2009 |
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2 moves match.