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 Legend Financial Advisors 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 |
|---|---|---|---|---|---|
| Alex Glenn Hendrickson | Emergingwealth Investment Management, Inc. independent RIA | Legend Financial Advisors Inc other | Other | Dec 17, 2020 | Mar 25, 2016 |
| David Cawley | Advice And Planning Services BD affiliated | Legend Financial Advisors Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jul 1, 2021 (230 d) |
| Vincent Strangio | Northwestern Mutual Investment Services,LLC other | Legend Financial Advisors Inc other | Other | Jan 2, 2014 | Feb 11, 2014 (40 d) |
| Chase D Conti | Emergingwealth Investment Management, Inc. other | Legend Financial Advisors Inc other | Other | Jul 19, 2013 | Aug 23, 2011 |
| Dawn Ellen Doebler | Ferguson-Johnson Wealth Management, Inc. other | Legend Financial Advisors Inc other | Other | Jul 22, 2009 | Oct 7, 2009 (77 d) |
| Michael Edward Krol | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Legend Financial Advisors Inc other | Other | Jun 2, 2005 | Oct 11, 2005 (131 d) |
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6 moves match.