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 Kaiser Wealth Management
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 |
|---|---|---|---|---|---|
| Richard Michael Kaul | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Kaiser Wealth Management other | Other | Feb 28, 2012 | Mar 9, 2012 |
| Mark Glenn Petrie | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Kaiser Wealth Management other | Other | May 13, 2011 | Apr 15, 2011 |
| Christine Mary Kelley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Kaiser Wealth Management other | Other | Apr 21, 2011 | Apr 21, 2011 |
| Stephen Philip Sorich | UBS Financial Services Inc. wirehouse | Kaiser Wealth Management other | Other | May 13, 2009 | May 27, 2009 |
| Cheri Lynn Johnson | Morgan Stanley & Co. LLC unclassified | Kaiser Wealth Management other | Other | Mar 10, 2008 | May 2, 2008 (53 d) |
| Pearley Hughes Wells | Morgan Stanley Dw Inc. unclassified | Kaiser Wealth Management other | Other | Apr 7, 2006 | Sep 25, 2009 (1267 d) |
| Thomas Eugene Brock | Morgan Stanley Dw Inc. unclassified | Kaiser Wealth Management other | Other | Aug 29, 2005 | Nov 25, 2008 (1184 d) |
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7 moves match.