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 Peak Financial Management 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 |
|---|---|---|---|---|---|
| Robert Stephen Roselli | Equitable Advisors, LLC national BD | Peak Financial Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | May 1, 2019 | Jul 2, 2019 (62 d) |
| Shaun Patrick Thompson | Focus Partners Wealth, LLC other | Peak Financial Management Inc other | Other | Aug 22, 2017 | Nov 7, 2017 (77 d) |
| Jeffrey Charles Smith | Wellesley Investment Partners, LLC other | Peak Financial Management Inc other | Other | Aug 22, 2014 | Sep 29, 2014 (38 d) |
| Christopher Karl Gaffney | Wellesley Investment Partners, LLC other | Peak Financial Management Inc other | Other | Aug 18, 2014 | Aug 13, 2014 |
| Kenneth James Dean | Granite State Retirement Planning, Inc. independent RIA | Peak Financial Management Inc other | Other | Jan 8, 2013 | Jan 14, 2016 (1101 d) |
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5 moves match.