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 Sterling Financial Planning 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 |
|---|---|---|---|---|---|
| Richard Sanchez | Avantax Advisory Services BD affiliated | Sterling Financial Planning Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 23, 2024 | Oct 9, 2025 (351 d) |
| Cal Christopher Cacciaguida | Summit Financial, LLC BD affiliated | Sterling Financial Planning Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 30, 2023 | Aug 15, 2023 (46 d) |
| Constance Paula Millahn | RBC Capital Markets, LLC national BD | Sterling Financial Planning Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 13, 2017 | Jul 10, 2019 (757 d) |
| Nicholas Anthony Nicolette | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Sterling Financial Planning Inc other | Other | May 6, 2004 | Jul 15, 2005 (435 d) |
| Glen Andrew Thomas | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Sterling Financial Planning Inc other | Other | Feb 18, 2004 | Jul 10, 2007 (1238 d) |
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5 moves match.