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 Windsor Capital 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 |
|---|---|---|---|---|---|
| Ian Michael Freemire | Fidelity Personal And Workplace Advisors BD affiliated | Windsor Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2019 | Feb 27, 2019 |
| Shannon M Gallop | E*Trade Capital Management, LLC other | Windsor Capital Management, LLC other | Other | Jan 26, 2017 | Feb 10, 2017 |
| Kenneth Brian Kann | E*Trade Capital Management, LLC other | Windsor Capital Management, LLC other | Other | Aug 12, 2010 | Aug 19, 2010 |
| Daniel H Rosenberg | Strategic Advisers LLC national BD | Windsor Capital Management, LLC other | Other | Apr 3, 2009 | Jun 15, 2009 (73 d) |
| Frederick Anthony Petrino | Payden & Rygel other | Windsor Capital Management, LLC other | Other | Jul 17, 2008 | Jul 29, 2009 (377 d) |
| Carolin Alaverdian | Td Ameritrade Investment Management, LLC other | Windsor Capital Management, LLC other | Other | May 2, 2008 | Nov 24, 2008 (206 d) |
| Donald Edward Peppler | LPL Financial LLC other | Windsor Capital Management, LLC other | Other | Apr 15, 2008 | Apr 8, 2008 |
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7 moves match.