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 D. Scott Neal, 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 |
|---|---|---|---|---|---|
| Michael Paul Reich | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | D. Scott Neal, Inc. independent RIA | RIA to RIA | Nov 16, 2020 | Nov 9, 2021 (358 d) |
| Bradley Clay Fisher | J.J.B. Hilliard, W.L. Lyons, LLC other | D. Scott Neal, Inc. other | Other | Sep 30, 2013 | Mar 30, 2015 (546 d) |
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2 moves match.