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 Roffman Miller Associates 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 |
|---|---|---|---|---|---|
| Robert Allan Riegen | Fidelity Personal And Workplace Advisors BD affiliated | Roffman Miller Associates Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2024 | Sep 20, 2024 (88 d) |
| Peter F Gaertner | Bryn Mawr Trust Advisors, LLC independent RIA | Roffman Miller Associates Inc independent RIA | RIA to RIA | Jan 25, 2024 | Feb 7, 2024 |
| Andrew Damico | Wells Fargo Advisors wirehouse | Roffman Miller Associates Inc independent RIA | Wirehouse to independent RIA | Mar 22, 2022 | Mar 25, 2022 |
| Martin Jeffrey Moyers | Charles Schwab & Co., Inc. national BD | Roffman Miller Associates Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2018 | Apr 17, 2020 (492 d) |
| Earl R. Miller | Mainline Private Wealth, LLC independent RIA | Roffman Miller Associates Inc independent RIA | RIA to RIA | Sep 21, 2018 | Nov 14, 2018 (54 d) |
| Gerard George Guertin | Charles Schwab & Co., Inc. national BD | Roffman Miller Associates Inc other | Other | Jul 8, 2016 | Sep 2, 2016 (56 d) |
| Kevin Joseph Cooke | Cooke Financial Planning unclassified | Roffman Miller Associates Inc other | Other | Feb 6, 2014 | Mar 13, 2014 (35 d) |
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7 moves match.