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 Caldwell Sutter Capital, 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
Sean Patrick TuohySwbc Investment Company mixed wealthCaldwell Sutter Capital, Inc. independent RIARIA to RIAMay 7, 2024May 14, 2024
Evan Lyle HersheyLanark Financial, Inc. BD affiliatedCaldwell Sutter Capital, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 24, 2023Mar 2, 2023
Gregory Joseph HarderLanark Financial, Inc. BD affiliatedCaldwell Sutter Capital, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 24, 2023Mar 2, 2023
Omar Ganoom1914 Advisors independent RIACaldwell Sutter Capital, Inc. independent RIARIA to RIAJul 6, 2022Jul 13, 2022
Susan Diane MetcalfMorton Clarke Inc. unclassifiedCaldwell Sutter Capital, Inc. independent RIAOtherNov 19, 2010Dec 11, 2023 (4770 d)
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5 moves match.