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 Capital Directions 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.

AdvisorFromToTypeLeftRegistered
Terry Jay MontanoTruewealth Management independent RIACapital Directions LLC independent RIARIA to RIANov 13, 2020Mar 23, 2021 (130 d)
Miriam C FalakiMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Directions LLC independent RIAWirehouse to independent RIASep 30, 2019Oct 10, 2019
John Lile WilliamsWealthguard Advisory Group, LLC independent RIACapital Directions LLC independent RIARIA to RIAOct 3, 2018Oct 18, 2018
Joshua John PodczervinskiWealthguard Advisory Group, LLC independent RIACapital Directions LLC independent RIARIA to RIAOct 3, 2018Oct 19, 2018
Michael Wellington BorkPlante Moran Financial Advisors otherCapital Directions LLC otherOtherMay 22, 2017Aug 16, 2017 (86 d)
Patrick Joseph CurranNorthwestern Mutual Investment Services,LLC no RAUMCapital Directions LLC independent RIAOtherApr 12, 2017Dec 22, 2022 (2080 d)
Richard C. O'DonnellLenox Wealth Management, Inc. otherCapital Directions LLC otherOtherJul 3, 2014Jul 21, 2014
Terrence Patrick HartiganAshwood Advisors, LLC unclassifiedCapital Directions LLC otherOtherMar 13, 2013Jan 10, 2013
John Matthew McmillenWells Fargo Advisors wirehouseCapital Directions LLC otherOtherApr 7, 2005Mar 24, 2005
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9 moves match.