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 Regency Investment Advisors 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 |
|---|---|---|---|---|---|
| Ryan John Barnes | Citigroup Global Markets Inc. BD affiliated | Regency Investment Advisors Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2023 | Aug 14, 2023 |
| Russell Stalin Maltes | Transamerica Retirement Advisors, LLC BD affiliated | Regency Investment Advisors Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2019 | Dec 6, 2019 |
| Alexander Amundson | Scf Investment Advisors, Inc. other | Regency Investment Advisors Inc other | Other | Sep 28, 2015 | Feb 4, 2016 (129 d) |
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3 moves match.