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 Pt Asset 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.

AdvisorFromToTypeLeftRegistered
Mark TometichCharles Schwab & Co., Inc. national BDPt Asset Management, LLC asset managerOtherAug 28, 2023Oct 18, 2023 (51 d)
Brooke Elizabeth MorganKestra Advisory Services, LLC BD affiliatedPt Asset Management, LLC asset managerOtherApr 16, 2021Apr 5, 2023 (719 d)
Colin Joseph ArnoldPerformance Trust Capital Partners, LLC otherPt Asset Management, LLC asset managerOtherMar 25, 2021Feb 26, 2021
Kevin J MillerEdward Jones national BDPt Asset Management, LLC asset managerOtherNov 1, 2018Nov 13, 2018
Andrew Eugene NelsonDestra Capital Advisors LLC asset managerPt Asset Management, LLC asset managerOtherOct 19, 2018Oct 15, 2018
Sean Michael-Thomas DranfieldWorld Equity Group, Inc. otherPt Asset Management, LLC otherOtherFeb 5, 2014Jan 16, 2015 (345 d)
Johnathan Nein WilhelmNuveen Fund Advisors, LLC otherPt Asset Management, LLC otherOtherDec 20, 2010Aug 17, 2011 (240 d)
James Patrick RichterA. G. Edwards & Sons, Inc. unclassifiedPt Asset Management, LLC otherOtherSep 27, 2007Aug 17, 2011 (1420 d)
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8 moves match.