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 Key Financial, 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 |
|---|---|---|---|---|---|
| Kristopher Donald Thompson | Osaic Wealth, Inc. BD affiliated | Key Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 17, 2024 | Apr 26, 2022 |
| Madeline O'Malley Young | Osaic Wealth, Inc. BD affiliated | Key Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2021 | May 9, 2019 |
| Spencer Paul Peet | Florida Financial Advisors, LLC BD affiliated | Key Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2021 | Apr 27, 2022 (293 d) |
| Samuel David Baez | Edward Jones national BD | Key Financial, Inc. other | Other | Nov 9, 2011 | Oct 23, 2013 (714 d) |
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4 moves match.