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 Union Capital Company

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
Karen Ann KoenigEdward Jones national BDUnion Capital Company independent RIAAffiliated broker-dealer or bank to independent RIAMay 4, 2021Jun 1, 2021
Joseph EberleCalton & Associates, Inc. independent RIAUnion Capital Company independent RIARIA to RIAJan 31, 2021May 28, 2021 (117 d)
William Paul FauzioCapital Financial Services, Inc. independent RIAUnion Capital Company independent RIARIA to RIAJul 30, 2019Jul 30, 2019
Charles Anderson CumberIntegrity Alliance, LLC otherUnion Capital Company independent RIAOtherOct 10, 2017May 4, 2018 (206 d)
Richard Bruce SladekMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseUnion Capital Company independent RIAWirehouse to independent RIASep 13, 2017Jul 9, 2018 (299 d)
Peter Francis Stratton1st Global Advisors Inc otherUnion Capital Company independent RIAOtherOct 6, 2016Oct 13, 2016
Edward Thomas CarpenterPnc Managed Account Solutions, Inc. otherUnion Capital Company independent RIAOtherJun 3, 2016Apr 19, 2017 (320 d)
Kevin Michael BrownStonex Advisors Inc. otherUnion Capital Company independent RIAOtherJan 20, 2016Jan 6, 2016
Kevin William McbarronMsi Financial Services, Inc. otherUnion Capital Company independent RIAOtherDec 31, 2015Dec 21, 2015
Jerome Van LeftwichChase Investment Services Corp. otherUnion Capital Company independent RIAOtherJun 3, 2011Jul 13, 2011 (40 d)
Noemi Lopez OrtegaLPL Financial LLC otherUnion Capital Company independent RIAOtherDec 6, 2007Dec 4, 2007
Larry Roy FriedenbergSecurities America Advisors, Inc. otherUnion Capital Company independent RIAOtherJan 10, 2007Jul 13, 2007 (184 d)
Jason Gregory SmithMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseUnion Capital Company independent RIAWirehouse to independent RIAMar 24, 2003Oct 7, 2009 (2389 d)
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13 moves match.