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 Charles Fish Investments, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Tuan A Ly | Cetera Investment Advisers LLC BD affiliated | Charles Fish Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2026 | Mar 11, 2026 |
| Charles Willard Fish | Rockwater Municipal Advisors, LLC unclassified | Charles Fish Investments, Inc. other | Other | Dec 31, 2009 | Jan 12, 2010 |
| Betsy Campbell Shelton | Rockwater Municipal Advisors, LLC unclassified | Charles Fish Investments, Inc. other | Other | Dec 31, 2009 | Jan 12, 2010 |
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3 moves match.