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
Arrivals at Cozad Asset Management 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Brett Anderson | M Holdings Securities, Inc. BD affiliated | Cozad Asset Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 13, 2021 | Dec 26, 2018 |
| William James Buerkett | UBS Financial Services Inc. wirehouse | Cozad Asset Management Inc independent RIA | Wirehouse to independent RIA | Jul 30, 2019 | Jun 4, 2021 (675 d) |
| Jack Stewart Earley | Ameriprise Financial Services, LLC national BD | Cozad Asset Management Inc other | Other | Mar 14, 2011 | Mar 13, 2012 (365 d) |
| Steven J Gardner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cozad Asset Management Inc other | Other | Dec 14, 2010 | Jan 28, 2011 (45 d) |
| Adrienne Lynne Olson | Ameriprise Financial Services, LLC national BD | Cozad Asset Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2010 | Feb 11, 2020 (3492 d) |
| Gregory Dale Cozad | Sikich Cozad Asset Management LLC unclassified | Cozad Asset Management Inc other | Other | Sep 1, 2009 | Feb 17, 1998 |
Page 1 of 1
6 moves match.