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 Clifford Swan Investment Counselors
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 |
|---|---|---|---|---|---|
| Billy J.H. Yeh | Steelpeak Wealth, LLC independent RIA | Clifford Swan Investment Counselors independent RIA | RIA to RIA | Jun 17, 2025 | Jul 9, 2025 |
| Elliott Curtis Hollingsworth | The Mather Group, LLC independent RIA | Clifford Swan Investment Counselors independent RIA | RIA to RIA | May 9, 2025 | Sep 5, 2025 (119 d) |
| Leslie Ann Manuel Gutierrez | UBS Financial Services Inc. wirehouse | Clifford Swan Investment Counselors independent RIA | Wirehouse to independent RIA | Apr 17, 2025 | Apr 15, 2025 |
| Raymundo Flores | RBC Securities, Inc. independent RIA | Clifford Swan Investment Counselors independent RIA | RIA to RIA | Mar 31, 2025 | Jun 30, 2025 (91 d) |
| Carlota Bjork Venegas | Ameriprise Financial Services, LLC national BD | Clifford Swan Investment Counselors independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 20, 2020 | May 8, 2020 (78 d) |
| David Yi-Yen Lin | Clear Shore Group LLC unclassified | Clifford Swan Investment Counselors independent RIA | Other | Oct 18, 2018 | Jan 1, 2025 (2267 d) |
| Maxwell Ramsey Pray | Philip V. Swan Associates, LLC unclassified | Clifford Swan Investment Counselors independent RIA | Other | Nov 14, 2007 | Jan 6, 2026 (6628 d) |
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7 moves match.