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 Erman Retirement Advisory
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 |
|---|---|---|---|---|---|
| Howard Dale Erman | Cetera Advisor Networks LLC BD affiliated | Erman Retirement Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 | Jun 7, 2011 |
| Kyle William Chapman | Cetera Advisor Networks LLC BD affiliated | Erman Retirement Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2018 | May 31, 2018 |
| Lori Patricia Sherman | Cetera Advisor Networks LLC other | Erman Retirement Advisory independent RIA | Other | Oct 6, 2017 | Jan 27, 2017 |
| Alfred Escamilla | Bancwest Investment Services, Inc. (Bwis) other | Erman Retirement Advisory independent RIA | Other | Apr 26, 2016 | Jan 26, 2017 (275 d) |
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4 moves match.