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 Spectrum Strategies, L.L.C.
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 |
|---|---|---|---|---|---|
| Truman Graves Blocker | MML Investors Services, LLC BD affiliated | Spectrum Strategies, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 5, 2026 | Jan 2, 2001 |
| Jaime Galvan | MML Investors Services, LLC BD affiliated | Spectrum Strategies, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 4, 2026 | Jan 1, 2000 |
| William Richard Geiler | MML Investors Services, LLC BD affiliated | Spectrum Strategies, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 4, 2026 | Jul 20, 2004 |
| Jeffrey Dale Cummins | MML Investors Services, LLC BD affiliated | Spectrum Strategies, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 4, 2026 | Mar 28, 2002 |
| Landon James Vaughan | MML Investors Services, LLC BD affiliated | Spectrum Strategies, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 4, 2026 | May 12, 2020 |
| Matt Lemmond | MML Investors Services, LLC BD affiliated | Spectrum Strategies, L.L.C. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 10, 2023 | May 12, 2020 |
| David Peter Suess | MML Investors Services, LLC other | Spectrum Strategies, L.L.C. state registered | Other | Aug 1, 2017 | Mar 8, 2011 |
| Patrick Francis Thuecks | Park Avenue Securities LLC other | Spectrum Strategies, L.L.C. state registered | Other | Feb 27, 2013 | Apr 15, 2014 (412 d) |
| Jayson Coleman Bales | MML Investors Services, LLC other | Spectrum Strategies, L.L.C. state registered | Other | Apr 11, 2012 | Aug 23, 1999 |
| Jon Michael Reppert | MML Investors Services, LLC other | Spectrum Strategies, L.L.C. state registered | Other | Nov 28, 2006 | May 30, 1989 |
| David Anthony Hocker | New England Securities Corporation other | Spectrum Strategies, L.L.C. state registered | Other | Jul 27, 2005 | Apr 27, 2006 (274 d) |
| Robert R Sweeney | MML Investors Services, LLC other | Spectrum Strategies, L.L.C. state registered | Other | Mar 24, 2005 | Aug 28, 2003 |
| Thomas Patrick Zanovich | MML Investors Services, LLC other | Spectrum Strategies, L.L.C. state registered | Other | Dec 31, 2004 | Apr 5, 2001 |
| Michael Pak | MML Investors Services, LLC other | Spectrum Strategies, L.L.C. state registered | Other | Mar 28, 2003 | Feb 5, 2003 |
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14 moves match.