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 Springer Financial Advisors
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 |
|---|---|---|---|---|---|
| Stephen Alexander Kim Sin Belasco | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Springer Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2018 | Aug 27, 2018 |
| Diana Dirocco | Ameriprise Financial Services, LLC national BD | Springer Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2018 | May 7, 2018 (61 d) |
| Sean Gannon | U.S. Bancorp Investments, Inc. other | Springer Financial Advisors other | Other | Apr 21, 2015 | Nov 30, 2015 (223 d) |
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3 moves match.