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 Harmony Asset Management 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Herbert H Ludlam | Raymond James & Associates, Inc. national BD | Harmony Asset Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2019 | Mar 19, 2019 |
| Dale Joseph Boettcher | Hayden Royal independent RIA | Harmony Asset Management LLC independent RIA | RIA to RIA | Jun 4, 2018 | Apr 13, 2018 |
| Kenneth K Jobson | Hayden Royal independent RIA | Harmony Asset Management LLC independent RIA | RIA to RIA | Jun 4, 2018 | Jan 10, 2020 (585 d) |
| Stuart Jeffries Henley | Morgan Stanley wirehouse | Harmony Asset Management LLC independent RIA | Wirehouse to independent RIA | Mar 19, 2018 | Oct 13, 2023 (2034 d) |
| Mark Robert Crawford | Qa3 Financial LLC unclassified | Harmony Asset Management LLC independent RIA | Other | Dec 19, 2005 | Feb 8, 2006 (51 d) |
Page 1 of 1
5 moves match.