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 Personal Financial Group

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.

AdvisorFromToTypeLeftRegistered
Eric Alan JohnsonOppenheimer & Co. Inc. otherPersonal Financial Group otherOtherApr 16, 2015Apr 1, 2015
Jeffrey Howard NesselOnedigital otherPersonal Financial Group otherOtherDec 31, 2014Jun 17, 2016 (534 d)
Mark Wheeler HarrisRBC Capital Markets, LLC national BDPersonal Financial Group otherOtherFeb 12, 2013Feb 6, 2013
Craig Scott FischWaddell & Reed otherPersonal Financial Group otherOtherDec 19, 2012Jan 2, 2013
Mitch Dean CarlsonWaddell & Reed otherPersonal Financial Group otherOtherDec 19, 2012Jan 2, 2013
Keith Fredrick Novak1st Global Advisors Inc otherPersonal Financial Group otherOtherNov 3, 2011Oct 19, 2012 (351 d)
Donald C ClarkSagepoint Financial, Inc. otherPersonal Financial Group otherOtherDec 1, 2009Dec 17, 2009
Mark David RabinSagepoint Financial, Inc. otherPersonal Financial Group otherOtherNov 30, 2009Dec 17, 2009
Daniel Joseph KammerichSagepoint Financial, Inc. otherPersonal Financial Group otherOtherNov 30, 2009Jan 5, 2010 (36 d)
Alan Mark RickertCenterpoint Advisory Services, Inc. unclassifiedPersonal Financial Group otherOtherDec 4, 2006May 4, 2015 (3073 d)
James Thomas FlanaganAmerican Century Advisory Services, Inc. no RAUMPersonal Financial Group otherOtherAug 7, 2003Jun 23, 2015 (4338 d)
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11 moves match.