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 Spectrum Financial 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 |
|---|---|---|---|---|---|
| Ralph Edward Smith | Liberty Capital Management unclassified | Spectrum Financial Inc other | Other | Dec 31, 2006 | Oct 10, 2007 (283 d) |
| Donald Brent Portell | Osaic Wealth, Inc. other | Spectrum Financial Inc other | Other | Jun 17, 2003 | Apr 11, 1998 |
| Kirk Pacatte | Osaic Wealth, Inc. other | Spectrum Financial Inc other | Other | Jun 17, 2003 | Feb 1, 2002 |
| David Wayne Bargetzi | Osaic Wealth, Inc. other | Spectrum Financial Inc other | Other | Jun 16, 2003 | Feb 1, 2002 |
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4 moves match.