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 The Mosaic Financial Group, 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 |
|---|---|---|---|---|---|
| Ryan Thomas Shaughnessy | Charles Schwab & Co., Inc. national BD | The Mosaic Financial Group, LLC other | Other | Nov 12, 2010 | Dec 15, 2010 (33 d) |
| James Gerard Hagedorn | Pricewaterhousecoopers Investment Advisers LLC no RAUM | The Mosaic Financial Group, LLC other | Other | Sep 4, 2007 | Oct 9, 2007 (35 d) |
| Bryan J. Mathie | Nuveen Fund Advisors, LLC other | The Mosaic Financial Group, LLC other | Other | Mar 5, 2007 | Mar 23, 2007 |
| Christine A Sperry | Bernardi Asset Management, LLC other | The Mosaic Financial Group, LLC other | Other | Feb 16, 2005 | Apr 12, 2005 (55 d) |
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4 moves match.