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 Monterey Private Wealth, 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 |
|---|---|---|---|---|---|
| Spencer Harvey Lloyd | UBS Financial Services Inc. wirehouse | Monterey Private Wealth, Inc. independent RIA | Wirehouse to independent RIA | Apr 23, 2019 | May 17, 2019 |
| Zachariah A Harney | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Monterey Private Wealth, Inc. independent RIA | Wirehouse to independent RIA | Feb 1, 2019 | Feb 7, 2019 |
| Mark W Kooiman | Charles Schwab & Co., Inc. national BD | Monterey Private Wealth, Inc. other | Other | Dec 6, 2016 | Jan 18, 2017 (43 d) |
| Cristofer Andres Cabanillas | Petersen & Ramistella, Inc. unclassified | Monterey Private Wealth, Inc. other | Other | Dec 12, 2011 | Oct 10, 2011 |
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4 moves match.