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 Pts Brokerage, 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 |
|---|---|---|---|---|---|
| Kenneth J Gertie | Woodbury Financial Services, Inc. BD affiliated | Pts Brokerage, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2021 | Feb 14, 2021 (37 d) |
| Arthur M Troccoli | Questar Asset Management, Inc. other | Pts Brokerage, LLC independent RIA | Other | Aug 24, 2016 | Mar 26, 2018 (579 d) |
| Jeffrey Scott Hahn | MML Investors Services, LLC other | Pts Brokerage, LLC independent RIA | Other | Jun 13, 2013 | Apr 24, 2017 (1411 d) |
| Daniel Edward Flamma | Gradient Advisors, LLC other | Pts Brokerage, LLC independent RIA | Other | Nov 2, 2012 | Nov 6, 2012 |
| Timothy Daniel Collins | Citigroup Global Markets Inc. other | Pts Brokerage, LLC independent RIA | Other | Aug 14, 2008 | Jan 7, 2013 (1607 d) |
| Daniel George Cameron | Msi Financial Services, Inc. other | Pts Brokerage, LLC independent RIA | Other | Jul 2, 2007 | Jun 29, 2007 |
| Gary Scott Brotz | Westover Asset Management, LLC unclassified | Pts Brokerage, LLC independent RIA | Other | Nov 14, 2006 | Oct 6, 2006 |
| Philip Gino Siciliano | Equitable Advisors, LLC national BD | Pts Brokerage, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2006 | Sep 13, 2006 |
| Robert Scott Valenti | Morgan Stanley Dw Inc. unclassified | Pts Brokerage, LLC independent RIA | Other | May 31, 2006 | Mar 30, 2009 (1034 d) |
| Jeffrey Dominic Dattolo | First Montauk Securities Corp. unclassified | Pts Brokerage, LLC independent RIA | Other | Dec 31, 2005 | Dec 18, 2007 (717 d) |
Page 1 of 1
10 moves match.