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 James River Asset 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 |
|---|---|---|---|---|---|
| Lucas Lee Swygard | Edelman Financial Engines mixed wealth | James River Asset Management, LLC independent RIA | RIA to RIA | Nov 21, 2023 | Jan 31, 2024 (71 d) |
| Alexander Mark Brennan | Morgan Stanley wirehouse | James River Asset Management, LLC independent RIA | Wirehouse to independent RIA | Mar 29, 2022 | Apr 20, 2022 |
| Kelly Gannon | Cetera Investment Advisers LLC BD affiliated | James River Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2021 | Jan 12, 2023 (590 d) |
| Kristin Danielle Carleton | Raymond James Financial Services Advisors, Inc BD affiliated | James River Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2019 | Nov 25, 2019 (34 d) |
| Lucas Lee Swygard | Northwestern Mutual Investment Services,LLC other | James River Asset Management, LLC other | Other | Nov 4, 2014 | Dec 10, 2014 (36 d) |
| Brian Thomas Hennaman | Investors Security Company, Inc. other | James River Asset Management, LLC other | Other | Feb 13, 2012 | Feb 23, 2012 |
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6 moves match.