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 Td Capital Management LLC
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 |
|---|---|---|---|---|---|
| Colin P Prince | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Td Capital Management LLC independent RIA | Wirehouse to independent RIA | Jun 19, 2018 | Jul 16, 2018 |
| Nimrod G. Thompson | New England Securities Corporation other | Td Capital Management LLC independent RIA | Other | Jan 11, 2013 | Jun 11, 2026 (4899 d) |
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2 moves match.