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 Rothschild Investment

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
Alexander I CreviRothschild Investment independent RIASegall Bryant & Hamill mixed wealthRIA to RIAJul 8, 2021Jul 27, 2021
Anne Fitzgerald FrancissenRothschild Investment independent RIARockefeller Capital Management BD affiliatedRIA to affiliated broker-dealer or bankMar 13, 2019Jul 9, 2020 (484 d)
Donald Lee RoseenRothschild Investment otherUnited Advisors Services, LLC otherOtherFeb 5, 2018Feb 5, 2018
Kirk Eugene RascherRothschild Investment otherUhlmann Investment Management, L.L.C. otherOtherJan 16, 2018Jan 11, 2018
James HofheimerRothschild Investment otherTidal Investments LLC mixed wealthOtherAug 4, 2017Feb 11, 2019 (556 d)
John Neil WoodRothschild Investment otherCambridge Investment Research Advisors, Inc. otherOtherJul 26, 2016Jul 26, 2016
John Baker WelchRothschild Investment otherWilliam Blair & Company L.L.C. otherOtherMar 14, 2013May 1, 2013 (48 d)
Jonathon Anthony BellRothschild Investment otherSaxony Capital Management, LLC otherOtherJul 20, 2012Jul 23, 2012
James Edward GainesRothschild Investment otherSaxony Capital Management, LLC otherOtherJul 20, 2012Jul 23, 2012
Eugene Edward JohnsonRothschild Investment otherCambridge Investment Research Advisors, Inc. otherOtherNov 10, 2010Jan 3, 2018 (2611 d)
Mitchell Armin KovitzRothschild Investment otherKovitz Investment Group, LLC otherOtherJan 2, 2004Sep 17, 2003
Robert C PitonRothschild Investment otherKovitz Investment Group, LLC otherOtherJan 2, 2004Sep 17, 2003
John Joseph ConwayRothschild Investment otherKovitz Investment Group, LLC otherOtherJan 2, 2004Sep 29, 2003
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13 moves match.