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 Affinity Financial Advisors

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.

AdvisorFromToTypeLeftRegistered
James Xerxes PhillipsCetera Advisor Networks LLC BD affiliatedAffinity Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAJun 29, 2023May 22, 2020
Garth Ovead MoreauCetera Advisor Networks LLC BD affiliatedAffinity Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAJun 29, 2023May 26, 2020
James M MooreCetera Advisor Networks LLC BD affiliatedAffinity Financial Advisors otherOtherApr 20, 2023Jan 16, 2014
Robert StarkCetera Advisor Networks LLC BD affiliatedAffinity Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAMar 31, 2022May 20, 2020
Casey TreenCharles Schwab & Co., Inc. national BDAffinity Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAMar 4, 2021Feb 18, 2021
Ian Kelly-ThomasFirst Allied Advisory Services, Inc. BD affiliatedAffinity Financial Advisors independent RIAAffiliated broker-dealer or bank to independent RIAMar 5, 2019Mar 13, 2019
Ryan Frederick SmithRegal Advisory Services, Inc. otherAffinity Financial Advisors independent RIAOtherNov 5, 2012Jul 16, 2019 (2444 d)
Peter KnutsonCommonwealth Financial Network national BDAffinity Financial Advisors otherOtherMay 30, 2003Nov 1, 2002
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8 moves match.