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 High Falls 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.

AdvisorFromToTypeLeftRegistered
John Garrett KleeSeneca Financial Advisors LLC independent RIAHigh Falls Advisors, Inc. independent RIARIA to RIANov 14, 2025May 4, 2026 (171 d)
Robert Stephen GranishAmeriprise Financial Services, LLC national BDHigh Falls Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 10, 2021Jun 29, 2022 (504 d)
George D MarronKarpus Investment Management independent RIAHigh Falls Advisors, Inc. independent RIARIA to RIANov 9, 2020Aug 30, 2021 (294 d)
Maureen J. PilatoLPL Financial LLC otherHigh Falls Advisors, Inc. otherOtherMay 13, 2014Nov 14, 2014 (185 d)
Alecia Beth Fisher DoughertyStrategic Advisers LLC national BDHigh Falls Advisors, Inc. otherOtherOct 31, 2013Dec 16, 2013 (46 d)
Deborah Detweiler BastowWall Street Financial Group, Inc otherHigh Falls Advisors, Inc. independent RIAOtherJun 28, 2013Sep 4, 2021 (2990 d)
Russell J MandrinoWall Street Financial Group, Inc otherHigh Falls Advisors, Inc. otherOtherJun 28, 2013Jul 29, 2014 (396 d)
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7 moves match.