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 Apriem Advisors
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 |
|---|---|---|---|---|---|
| Laura Travis Devore | Strategic Advisers LLC national BD | Apriem Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2017 | May 14, 2018 (306 d) |
| Susan Leann Niedwick | Palo Capital, Inc. other | Apriem Advisors other | Other | May 3, 2012 | May 3, 2012 |
| Landon Makoto Yoshida | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Apriem Advisors other | Other | Jun 1, 2011 | Jul 7, 2011 (36 d) |
| William Nicholas Pugh | Charles Schwab & Co., Inc. national BD | Apriem Advisors other | Other | Apr 14, 2011 | Jun 4, 2014 (1147 d) |
| Marion Anthony Jabczenski | Fuller Asset Management, LLC other | Apriem Advisors other | Other | Jun 28, 2006 | Jul 10, 2006 |
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5 moves match.