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 Colorado Financial 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 |
|---|---|---|---|---|---|
| Robert Louis Lucente | Lido independent RIA | Colorado Financial Management LLC independent RIA | RIA to RIA | Apr 14, 2023 | Apr 13, 2023 |
| James Chartrey | Lido independent RIA | Colorado Financial Management LLC independent RIA | RIA to RIA | Apr 14, 2023 | Apr 13, 2023 |
| William Andrew Snider | Cetera Investment Advisers LLC BD affiliated | Colorado Financial Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2019 | Oct 1, 2019 |
| Luke Robert Daniel | Charles Schwab & Co., Inc. national BD | Colorado Financial Management LLC other | Other | Sep 18, 2007 | Apr 14, 2011 (1304 d) |
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4 moves match.