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 Stepp & Rothwell 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 |
|---|---|---|---|---|---|
| Todd Christian Ericson | Edward Jones national BD | Stepp & Rothwell Inc other | Other | May 7, 2015 | Jul 29, 2015 (83 d) |
| Melissa Jane Ellis | Barber Financial Group other | Stepp & Rothwell Inc other | Other | Sep 17, 2014 | Sep 11, 2014 |
| Daniel Eugene Shay | Securian Financial Services, Inc. other | Stepp & Rothwell Inc independent RIA | Other | Feb 5, 2013 | Jul 2, 2018 (1973 d) |
| Bradford Preston Mecklenburg | American Century Advisory Services, Inc. no RAUM | Stepp & Rothwell Inc other | Other | Nov 9, 2011 | Jun 2, 2015 (1301 d) |
| Daniel Sandom Pontarelli | Edward Jones national BD | Stepp & Rothwell Inc other | Other | Nov 2, 2010 | Apr 16, 2014 (1261 d) |
| Adam Gregory Hoopes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Stepp & Rothwell Inc other | Other | Aug 22, 2007 | Oct 19, 2007 (58 d) |
| Kurt Charles Commerford | Brookstreet Securities Corporation unclassified | Stepp & Rothwell Inc other | Other | Jul 27, 2004 | Oct 19, 2007 (1179 d) |
Page 1 of 1
7 moves match.