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 The Sterling Group
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 |
|---|---|---|---|---|---|
| Charles Davis Lee | Osaic Fa, Inc. BD affiliated | The Sterling Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2024 | Feb 20, 2026 (498 d) |
| Michael Patrick Hatch | LPL Financial LLC independent RIA | The Sterling Group other | Other | Dec 1, 2022 | Nov 5, 1999 |
| Ana Teper | Assetmark, Inc. other | The Sterling Group other | Other | Sep 23, 2013 | Feb 5, 2014 (135 d) |
| Anthony John Nahra | Strategic Advisers LLC national BD | The Sterling Group other | Other | Aug 4, 2005 | Nov 19, 2007 (837 d) |
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4 moves match.