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 Fca Corp
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 |
|---|---|---|---|---|---|
| Geraldo Flores Olivo | Raymond James & Associates, Inc. national BD | Fca Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2021 | Sep 13, 2021 (185 d) |
| Jonathan Earle Mccarty | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fca Corp independent RIA | Wirehouse to independent RIA | May 24, 2018 | Mar 17, 2022 (1393 d) |
| Casey Kha | Osaic Fa, Inc. other | Fca Corp independent RIA | Other | Jun 14, 2010 | May 6, 2022 (4344 d) |
| Ralph Raymond Scott | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fca Corp other | Other | Nov 4, 2005 | Nov 4, 2005 |
| Sy Richard Lippman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fca Corp other | Other | Nov 4, 2005 | Nov 4, 2005 |
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5 moves match.