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 Bates Financial Advisors, 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 |
|---|---|---|---|---|---|
| John William Wimbiscus | The Mather Group, LLC independent RIA | Bates Financial Advisors, Inc. independent RIA | RIA to RIA | Nov 24, 2023 | May 4, 2026 (892 d) |
| Andrew Alan Waggoner | Valic Financial Advisors, Inc. BD affiliated | Bates Financial Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Jul 22, 2021 |
| Jennifer Rebecca Schwarze | Stifel, Nicolaus & Company, Incorporated national BD | Bates Financial Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2021 | May 3, 2021 |
| Amanda Nicole Devore | Equitable Advisors, LLC national BD | Bates Financial Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2020 | Jan 14, 2021 (105 d) |
| Marina B Peacock | Robert W. Baird & Co. Incorporated mixed wealth | Bates Financial Advisors, Inc. independent RIA | RIA to RIA | Feb 5, 2019 | Feb 26, 2019 |
| Andrew Alan Waggoner | Msi Financial Services, Inc. other | Bates Financial Advisors, Inc. other | Other | Feb 17, 2017 | May 16, 2017 (88 d) |
| Marina B Peacock | Edward Jones national BD | Bates Financial Advisors, Inc. other | Other | Nov 20, 2012 | May 14, 2014 (540 d) |
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7 moves match.