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 Financial Management, 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.

AdvisorFromToTypeLeftRegistered
Michelle Robin JonesLPL Financial LLC independent RIAFinancial Management, Inc. otherOtherOct 28, 2022Dec 3, 2015
Drew SchaeferLPL Financial LLC BD affiliatedFinancial Management, Inc. otherOtherApr 14, 2020Dec 2, 2011
Valen Ann PermannFidelity Personal And Workplace Advisors BD affiliatedFinancial Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 10, 2019Aug 21, 2019 (42 d)
Brian O WyattMcilrath & Eck, LLC independent RIAFinancial Management, Inc. independent RIARIA to RIAJun 20, 2018Apr 6, 2018
Richard Peter CullenNorthern Capital Management, Inc. otherFinancial Management, Inc. otherOtherAug 8, 2017Aug 1, 2017
Ryan HeacockLPL Financial LLC otherFinancial Management, Inc. otherOtherJan 12, 2017Feb 9, 2017
Kenneth Edward ReevesInvest Financial Corporation otherFinancial Management, Inc. otherOtherJan 9, 2017Feb 16, 2017 (38 d)
Clark Leroy PermannLPL Financial LLC otherFinancial Management, Inc. otherOtherSep 8, 2016Aug 19, 1999
Robert Adam VickersLPL Financial LLC otherFinancial Management, Inc. otherOtherSep 8, 2016Feb 5, 2001
Jared Mark JonesLPL Financial LLC otherFinancial Management, Inc. otherOtherOct 28, 2015Sep 12, 2011
Travis Justin StolcisLPL Financial LLC otherFinancial Management, Inc. otherOtherOct 6, 2014Feb 11, 2014
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11 moves match.