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 Aza Capital Management

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
Bunn FawcettCastleview Partners, LLC independent RIAAza Capital Management independent RIARIA to RIAApr 3, 2023Apr 21, 2023
Barbara Jean KellyCastleview Partners, LLC independent RIAAza Capital Management independent RIARIA to RIAJul 18, 2022Jul 18, 2022
Michael Charles VogelArete Wealth Advisors, LLC BD affiliatedAza Capital Management independent RIAAffiliated broker-dealer or bank to independent RIANov 1, 2019Nov 22, 2019
Ross Alan BlauwkampArete Wealth Advisors, LLC BD affiliatedAza Capital Management independent RIAAffiliated broker-dealer or bank to independent RIANov 1, 2019Nov 1, 2019
Christopher Allen ReckerInterocean Capital, LLC otherAza Capital Management otherOtherJun 5, 2014Jun 10, 2014
Robert Bradford RoweRaymond James & Associates, Inc. national BDAza Capital Management otherOtherFeb 10, 2011Mar 22, 2011 (40 d)
Michael James LafontaineNrp Advisors, Inc. unclassifiedAza Capital Management otherOtherAug 17, 2009Oct 16, 2009 (60 d)
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7 moves match.