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 Sterneck Capital Management LLC
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 |
|---|---|---|---|---|---|
| Frank Martin Sterneck | Westport Resources Management Inc other | Sterneck Capital Management LLC other | Other | Dec 2, 2015 | Dec 7, 2009 |
| Larisa Sharockman | Charles Schwab & Co., Inc. national BD | Sterneck Capital Management LLC other | Other | Oct 14, 2013 | Apr 14, 2014 (182 d) |
| Brian George Swim | Orion Portfolio Solutions, LLC other | Sterneck Capital Management LLC other | Other | May 9, 2013 | Nov 7, 2013 (182 d) |
| Zachary Reed Emslie | Td Ameritrade, Inc. no RAUM | Sterneck Capital Management LLC other | Other | Aug 16, 2011 | Aug 17, 2011 |
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4 moves match.