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 Loc Investment Advisers
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 |
|---|---|---|---|---|---|
| Jeffrey Owen Borman | Wells Fargo Advisors wirehouse | Loc Investment Advisers other | Other | Nov 7, 2014 | Dec 10, 2014 (33 d) |
| Patricia Ann Schiffour | Wells Fargo Advisors wirehouse | Loc Investment Advisers other | Other | Apr 28, 2014 | Jul 1, 2014 (64 d) |
| Patricia Ann Schiffour | Charles Schwab & Co., Inc. national BD | Loc Investment Advisers other | Other | Sep 2, 2004 | Mar 18, 2005 (197 d) |
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3 moves match.