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 Spectrum Asset 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 |
|---|---|---|---|---|---|
| Michael James Ottman | Ottman Financial Group, Inc. unclassified | Spectrum Asset Management Inc other | Other | Dec 16, 2013 | Dec 17, 2013 |
| Jeremy Ian Saltzberg | Beacon Pointe Advisors, LLC other | Spectrum Asset Management Inc other | Other | Apr 2, 2013 | Apr 22, 2013 |
| Lisa Suzanne Sharp | Charles Schwab & Co., Inc. national BD | Spectrum Asset Management Inc other | Other | May 25, 2004 | Oct 27, 2016 (4538 d) |
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3 moves match.