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 Financial Planning And Information Services, 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 |
|---|---|---|---|---|---|
| Carl E Ekstrom | Charles Schwab & Co., Inc. national BD | Financial Planning And Information Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 3, 2023 | Jun 30, 2023 |
| Jacqueline Ann Lawrence | Raymond James Financial Services Advisors, Inc BD affiliated | Financial Planning And Information Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2020 | May 29, 2024 (1497 d) |
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2 moves match.