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 Ariel Investments, LLC
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 |
|---|---|---|---|---|---|
| Kara Irene Brosio | Morningstar Investment Services LLC independent RIA | Ariel Investments, LLC other | Other | Jun 16, 2025 | Feb 11, 2026 (240 d) |
| Jessica Richard | UBS Financial Services Inc. wirehouse | Ariel Investments, LLC other | Other | May 23, 2023 | Oct 30, 2023 (160 d) |
| Nicholas Peter Sarkos | Blackrock Investment Management, LLC other | Ariel Investments, LLC other | Other | Mar 29, 2023 | May 8, 2023 (40 d) |
| Henry Edward Sholl | Valic Financial Advisors, Inc. BD affiliated | Ariel Investments, LLC other | Other | Aug 5, 2021 | Aug 30, 2021 |
| Danan Michael Kirby | Thornburg Investment Management Inc asset manager | Ariel Investments, LLC other | Other | Jan 12, 2021 | Dec 6, 2021 (328 d) |
| James Ross Prescott | Oakpath Financial unclassified | Ariel Investments, LLC other | Other | Jan 15, 2014 | Sep 20, 2014 (248 d) |
| Jo Ann Quinif | Cinfin Capital Management unclassified | Ariel Investments, LLC other | Other | Jan 6, 2004 | Aug 25, 2005 (597 d) |
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7 moves match.