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 Southbridge

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
Jeffery Alan Hanna	J. Hanna And Associates, Inc. Dba Way Financial Group unclassified	Southbridge other	Other	Aug 17, 2020	May 12, 2015
Maryjane Margaret Lecroy	Hammond Investment Planning Corporation independent RIA	Southbridge independent RIA	RIA to RIA	Aug 21, 2018	Aug 6, 2018
Dustin Mendenhall	Vertical Wealth, LLC state registered	Southbridge other	Other	Mar 21, 2016	Jan 27, 2016
Joseph P Clagg	Vertical Wealth, LLC state registered	Southbridge other	Other	Mar 21, 2016	Jan 25, 2016
Karen Campbell Vining	Vining Financial other	Southbridge other	Other	Oct 7, 2015	Apr 29, 2015
William Robert Mcgoldrick	Vining Financial other	Southbridge other	Other	Oct 7, 2015	Apr 25, 2015
Charles Allan Mears	Vining Financial other	Southbridge other	Other	Oct 7, 2015	Apr 27, 2015
Cory Shane Colquette	Integra Wealth independent RIA	Southbridge other	Other	Apr 24, 2014	Mar 20, 2014
Michael Todd Fields	Trusted Wealth Management, Inc unclassified	Southbridge other	Other	Feb 28, 2013	Mar 6, 2013
Dustin Paul Mcarthur	Suntrust Investment Services, Inc. other	Southbridge other	Other	Feb 8, 2013	Feb 12, 2015 (734 d)
Peyton William Riley	Park Avenue Securities LLC other	Southbridge other	Other	Jan 31, 2012	Apr 24, 2012 (84 d)
Robert Y. Donnell	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Southbridge other	Other	Sep 13, 2011	Nov 7, 2011 (55 d)
George Wayne Richerson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Southbridge other	Other	Jun 1, 2011	Jun 24, 2011
Jerold Martin Sniderman	UBS Financial Services Inc. wirehouse	Southbridge other	Other	May 13, 2009	Aug 10, 2009 (89 d)
Louis J Brown	Nfp Advisor Services, LLC other	Southbridge other	Other	Aug 18, 2006	Nov 9, 2007 (448 d)
Steven Michael Reents	Suntrust Investment Services, Inc. other	Southbridge other	Other	Sep 17, 2004	Jul 27, 2007 (1043 d)
Brian S Staples	Suntrust Investment Services, Inc. other	Southbridge other	Other	May 5, 2003	Mar 17, 2004 (317 d)

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17 moves match.