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 Prism Financial Group, L.L.C.
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 |
|---|---|---|---|---|---|
| John Patrick Bohan | LPL Financial LLC BD affiliated | Prism Financial Group, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2020 | Oct 10, 2023 (1260 d) |
| Randy A Schaller | Smart401k, LLC other | Prism Financial Group, L.L.C. other | Other | Jun 23, 2015 | Mar 23, 2016 (274 d) |
| Darren R Gray | Concert Wealth Management other | Prism Financial Group, L.L.C. other | Other | Nov 12, 2012 | Jan 14, 2013 (63 d) |
| Charles Henry Koch | Smart401k, LLC other | Prism Financial Group, L.L.C. other | Other | Oct 12, 2012 | Jan 14, 2013 (94 d) |
| James Curtis Claiborne | New England Securities Corporation other | Prism Financial Group, L.L.C. other | Other | Jul 21, 2005 | Aug 4, 2005 |
| Darren R Gray | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prism Financial Group, L.L.C. other | Other | Jan 26, 2004 | Apr 5, 2005 (435 d) |
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6 moves match.