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 Securities Brokerage Services

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
Theodore Francis StaatsLPL Financial LLC BD affiliatedSecurities Brokerage Services state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 18, 2020Aug 18, 2020
Rebecca A BryanBryan Advisory Services, LLC independent RIASecurities Brokerage Services state registeredRIA to a state-registered adviserNov 8, 2019Mar 24, 2021 (502 d)
Barry Dean FasenmyerMsi Financial Services, Inc. otherSecurities Brokerage Services state registeredOtherDec 22, 2016Jan 26, 2017 (35 d)
Charles Wilber MccoyMsi Financial Services, Inc. otherSecurities Brokerage Services state registeredOtherMay 6, 2015May 26, 2015
Ralph Thomas ServatiWalnut Street Securities, Inc. otherSecurities Brokerage Services state registeredOtherSep 3, 2013Apr 5, 2011
Theodore Francis StaatsWalnut Street Securities, Inc. otherSecurities Brokerage Services state registeredOtherSep 3, 2013Dec 11, 2012
Matthew Glynn OxenreiterWalnut Street Securities, Inc. otherSecurities Brokerage Services state registeredOtherSep 3, 2013May 11, 2011
Justin TeganoWalnut Street Securities, Inc. otherSecurities Brokerage Services state registeredOtherMay 21, 2013Apr 13, 2011
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8 moves match.