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 Wealthspire Advisors
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 |
|---|---|---|---|---|---|
| Jacob Yale Scott | Valic Financial Advisors, Inc. BD affiliated | Wealthspire Advisors mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2022 | Apr 26, 2022 |
| Faron Scott Miller | Td Ameritrade, Inc. no RAUM | Wealthspire Advisors mixed wealth | Other | Nov 29, 2019 | Jan 6, 2020 (38 d) |
| James D Pickert | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wealthspire Advisors other | Other | Nov 25, 2014 | Jan 8, 2015 (44 d) |
| Paul Benson Marks | Greenbook Investment Management, Inc. unclassified | Wealthspire Advisors other | Other | Oct 10, 2005 | Jun 23, 2006 (256 d) |
Page 1 of 1
4 moves match.