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 Sb Wealth
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 |
|---|---|---|---|---|---|
| Leonard Emil Moulin | Cetera Advisor Networks LLC BD affiliated | Sb Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 | Jan 24, 2019 |
| Jena Elizabeth Schuster | Cetera Advisor Networks LLC BD affiliated | Sb Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2019 | Nov 20, 2018 |
| Bonnie Sue Wusz | Girard Securities, Inc. other | Sb Wealth other | Other | Sep 23, 2015 | Jun 29, 2012 |
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3 moves match.