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 Kowal Investment Group, 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 |
|---|---|---|---|---|---|
| Chaunston Carlemer Weisensel | Pruco Securities, LLC BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2021 | Jul 30, 2021 |
| Thomas Robert Krueger | Northwestern Mutual Investment Services,LLC no RAUM | Kowal Investment Group, LLC independent RIA | Other | Dec 21, 2020 | Jan 29, 2021 (39 d) |
| Paul Leonard Schaefer | Raymond James Financial Services Advisors, Inc BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Sep 30, 2020 |
| Joseph Michael Still | Raymond James Financial Services Advisors, Inc BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Sep 30, 2020 |
| Rebecca Jean Gruver | Raymond James Financial Services Advisors, Inc BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Nov 18, 2020 (37 d) |
| Aaron Matthew Spitzner | Raymond James Financial Services Advisors, Inc BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Sep 30, 2020 |
| John James White | Raymond James Financial Services Advisors, Inc BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Sep 30, 2020 |
| Marie Ann Nichole Schuett | Raymond James Financial Services Advisors, Inc BD affiliated | Kowal Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Sep 30, 2020 |
| Aaron Timothy Kowal | Sagepoint Financial, Inc. other | Kowal Investment Group, LLC independent RIA | Other | Aug 12, 2009 | Jul 20, 2007 |
| Jeffrey Davis Kowal | Sagepoint Financial, Inc. other | Kowal Investment Group, LLC independent RIA | Other | Aug 12, 2009 | Feb 1, 2007 |
| Joseph Anthony Simons | Sagepoint Financial, Inc. other | Kowal Investment Group, LLC independent RIA | Other | May 18, 2009 | Aug 6, 2008 |
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11 moves match.