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 B|O|S
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 |
|---|---|---|---|---|---|
| Leann Shea | RBC Capital Markets, LLC national BD | B|O|S independent RIA | Affiliated broker-dealer or bank to independent RIA | May 5, 2021 | May 28, 2021 |
| Jay Lee | UBS Financial Services Inc. wirehouse | B|O|S independent RIA | Wirehouse to independent RIA | Mar 23, 2021 | Apr 29, 2021 (37 d) |
| Eric C Chang | Zions Capital Advisors, Inc. institutional | B|O|S independent RIA | Other | Jan 4, 2021 | Apr 30, 2021 (116 d) |
| Emily Taken-Vertz | Brouwer & Janachowski, LLC independent RIA | B|O|S independent RIA | RIA to RIA | Oct 10, 2019 | Oct 28, 2019 |
| Garrett Ames Gillett | Edelman Financial Engines independent RIA | B|O|S independent RIA | RIA to RIA | Dec 13, 2018 | Dec 24, 2018 |
| Scott D Toomasson | Ep Wealth Advisors other | B|O|S independent RIA | Other | Jan 11, 2018 | Sep 5, 2018 (237 d) |
| Adam Mazzaro | Personal Capital Advisors Corporation other | B|O|S independent RIA | Other | Dec 6, 2017 | Aug 6, 2019 (608 d) |
| Sheetal Shyam Bagde | Buckingham Strategic Wealth, LLC other | B|O|S other | Other | Apr 20, 2017 | May 4, 2017 |
| Richard Eric Long | Robertson Stephens Advisors other | B|O|S other | Other | Feb 16, 2017 | Sep 1, 2017 (197 d) |
| Timothy Justin Raftis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B|O|S other | Other | Jan 4, 2017 | May 1, 2017 (117 d) |
| Tae Yun Kim Oak | San Francisco Sentry Investment Group other | B|O|S other | Other | Oct 13, 2016 | Oct 28, 2016 |
| Regina Jui Chieh Tsai | Usaa Financial Planning Services no RAUM | B|O|S other | Other | Jul 22, 2016 | Dec 7, 2016 (138 d) |
| Steven Michael Pitchford | Lnw other | B|O|S other | Other | Sep 3, 2015 | Sep 14, 2015 |
| Jacqueline Laura Carrillo | National Planning Corporation ("Npc Of America" In Fl & Ny) other | B|O|S other | Other | Oct 18, 2013 | Jul 29, 2014 (284 d) |
| Minnie Yao Sanford | Bailard, Inc. other | B|O|S other | Other | May 9, 2013 | Jun 14, 2013 (36 d) |
| Audra Christine Nay | Santa Barbara Asset Management, LLC other | B|O|S other | Other | Apr 8, 2013 | Feb 21, 2014 (319 d) |
| Michelle Espiritu Soto | Bailard, Inc. other | B|O|S other | Other | Mar 6, 2012 | Mar 20, 2012 |
| Steve Salvatore Caltagirone | Fisher Investments other | B|O|S other | Other | Aug 7, 2008 | Jul 24, 2008 |
| Clayton Holt Ernst | Citigroup Global Markets Inc. other | B|O|S other | Other | Jul 3, 2007 | Aug 13, 2007 (41 d) |
| Colleen Sue Breit-Supran | Morrison & Frazier, LLC unclassified | B|O|S other | Other | May 7, 2007 | Jun 12, 2007 (36 d) |
| David George Sylvester | Morrison & Frazier, LLC unclassified | B|O|S other | Other | Apr 25, 2007 | May 19, 2008 (390 d) |
Page 1 of 1
21 moves match.