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 Swan Global Investments, 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.

AdvisorFromToTypeLeftRegistered
Brennan C MccormackGoldman Sachs Wealth Services, L.P. BD affiliatedSwan Global Investments, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJul 6, 2023Aug 28, 2023 (53 d)
Seth Christian HiemstraCentennial Securities Company Inc independent RIASwan Global Investments, LLC mixed wealthRIA to RIASep 24, 2022Jul 28, 2023 (307 d)
Stephen Thomas BogosianAthenainvest Advisors LLC otherSwan Global Investments, LLC mixed wealthOtherMar 8, 2021Dec 18, 2020
Angela V HarrisMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSwan Global Investments, LLC mixed wealthWirehouse to independent RIAJan 10, 2020Feb 12, 2021 (399 d)
George Brooks WrightnourPark Avenue Securities LLC BD affiliatedSwan Global Investments, LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJul 18, 2019Sep 16, 2019 (60 d)
Jeffrey David ThomasWbi Investments, LLC otherSwan Global Investments, LLC otherOtherAug 25, 2017Oct 6, 2017 (42 d)
Cynthia Susan PelosiInvest Financial Corporation otherSwan Global Investments, LLC otherOtherFeb 22, 2017Nov 14, 2017 (265 d)
Christopher Brian HausmanSaliba Portfolio Management, LLC unclassifiedSwan Global Investments, LLC mixed wealthOtherNov 2, 2016Jan 1, 2025 (2982 d)
Julie Elaine Warren HoltonBpv Capital Management, LLC otherSwan Global Investments, LLC otherOtherSep 9, 2016Jun 1, 2017 (265 d)
Christopher HylenLPL Financial LLC otherSwan Global Investments, LLC mixed wealthOtherMay 12, 2016Sep 24, 2018 (865 d)
Kevin Joseph GrayNew York Life Investment Management LLC otherSwan Global Investments, LLC otherOtherSep 23, 2015Oct 21, 2015
Christopher Charles FoxCurian Capital, LLC otherSwan Global Investments, LLC otherOtherSep 15, 2015Oct 20, 2015 (35 d)
John Erik OlsonWbi Investments, LLC otherSwan Global Investments, LLC otherOtherSep 16, 2014Jun 25, 2015 (282 d)
Micah John WakefieldCetera Advisor Networks LLC otherSwan Global Investments, LLC otherOtherAug 8, 2014Aug 26, 2014
Justin Wesley BatesFirst Allied Advisory Services, Inc. otherSwan Global Investments, LLC otherOtherMay 27, 2014Jul 25, 2014 (59 d)
Dolores Fernandez WhelessCovenant otherSwan Global Investments, LLC otherOtherNov 6, 2012Feb 9, 2018 (1921 d)
Jay David AngottiPark Avenue Securities LLC otherSwan Global Investments, LLC otherOtherApr 30, 2012Apr 12, 2016 (1443 d)
Marc Kootoku OdoAccessor Capital Management LP unclassifiedSwan Global Investments, LLC otherOtherAug 7, 2006Apr 8, 2015 (3166 d)
James Patrick PritchardPritchard Investment Management unclassifiedSwan Global Investments, LLC otherOtherDec 31, 2005Aug 20, 2010 (1693 d)
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19 moves match.