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 Spring Mountain Capital, LP
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 |
|---|---|---|---|---|---|
| John Pocceschi | Oppenheimer & Co. Inc. BD affiliated | Spring Mountain Capital, LP mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Mar 17, 2021 (138 d) |
| Veronica Gilmartin March | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Spring Mountain Capital, LP other | Other | Aug 5, 2013 | Aug 28, 2013 |
| Michael Joseph Smith | Smc Fixed Income Management, LP unclassified | Spring Mountain Capital, LP other | Other | Mar 30, 2012 | Apr 2, 2012 |
Page 1 of 1
3 moves match.