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 Roosevelt Investments
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 |
|---|---|---|---|---|---|
| John William Sokolowski | Alliancebernstein L.P. other | Roosevelt Investments other | Other | Jan 13, 2014 | Jul 7, 2015 (540 d) |
| Timothy Eric Hermann | Fisher Investments other | Roosevelt Investments other | Other | Dec 1, 2009 | Nov 3, 2010 (337 d) |
| Izabela Hallett | William Blair & Company L.L.C. other | Roosevelt Investments other | Other | Aug 19, 2009 | Nov 3, 2010 (441 d) |
| Steven Kleiner | UBS Financial Services Inc. wirehouse | Roosevelt Investments other | Other | Oct 3, 2008 | Nov 3, 2010 (761 d) |
| Corie Evan Gabriel | Fisher Investments other | Roosevelt Investments other | Other | Sep 16, 2008 | Nov 3, 2010 (778 d) |
| Michael Edward Maitner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Roosevelt Investments other | Other | Apr 9, 2007 | May 20, 2015 (2963 d) |
| Robert Lawrence Meyer | Ehrlich Meyer Associates, Inc. unclassified | Roosevelt Investments independent RIA | Other | Mar 16, 2007 | Jul 15, 2021 (5235 d) |
| Joseph None Faragi | Charles Schwab & Co., Inc. national BD | Roosevelt Investments other | Other | Feb 20, 2004 | Jan 28, 2009 (1804 d) |
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8 moves match.