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 Financial Management Strategies, Inc.

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
Steven Craig IngramRegal Advisory Services, Inc. independent RIAFinancial Management Strategies, Inc. independent RIARIA to RIADec 12, 2019Nov 21, 2019
Antonio F CibellaCetera Investment Advisers LLC BD affiliatedFinancial Management Strategies, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 18, 2019Dec 3, 2019
Shawn William MathisAmeriprise Financial Services, LLC national BDFinancial Management Strategies, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAOct 17, 2018Oct 16, 2018
Kevin James BauerAmeriprise Financial Services, LLC national BDFinancial Management Strategies, Inc. otherOtherOct 23, 2017Oct 20, 2017
John Frederick StaufferPark Avenue Securities LLC otherFinancial Management Strategies, Inc. otherOtherJan 30, 2017Jan 23, 2017
Victoria Louise EllingerAmeriprise Financial Services, LLC national BDFinancial Management Strategies, Inc. otherOtherJan 13, 2017Jan 10, 2017
James Vincent RoganCapital Analysts otherFinancial Management Strategies, Inc. otherOtherJul 31, 2015Aug 31, 2015 (31 d)
George Joseph RandallOn Investment Management Co otherFinancial Management Strategies, Inc. otherOtherNov 5, 2014Nov 13, 2014
Cheryl Lynn NormanSavage And Associates, Inc. unclassifiedFinancial Management Strategies, Inc. otherOtherSep 25, 2013Jul 2, 2013
Tom Arno StapelWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Jan 20, 2011
Melissa Joy ReiderWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Jul 2, 2013
William Thomas MawbyWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Jan 21, 2010
Daniel Joseph LaneWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Mar 18, 2010
Margaret Suzanne MaxelWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherSep 3, 2013Jan 20, 2010
Stephen James CribleyAmeriprise Financial Services, LLC national BDFinancial Management Strategies, Inc. otherOtherAug 28, 2012Oct 1, 2012 (34 d)
Anant K JainUnited Solutions unclassifiedFinancial Management Strategies, Inc. otherOtherApr 12, 2011Mar 25, 2011
Brent Allen TeagueWalnut Street Securities, Inc. otherFinancial Management Strategies, Inc. otherOtherOct 13, 2010Mar 23, 2010
Matthew Burke PriceAmeriprise Financial Services, LLC national BDFinancial Management Strategies, Inc. otherOtherMay 7, 2009Jul 24, 2009 (78 d)
Matthew William RohdeCetera Advisor Networks LLC otherFinancial Management Strategies, Inc. otherOtherJun 3, 2008Aug 4, 2009 (427 d)
Jeffrey Charles KnoxWalnut Street Advisers Inc unclassifiedFinancial Management Strategies, Inc. otherOtherJan 13, 2006Jan 1, 2000
James Sheldon LineweaverWalnut Street Advisers Inc unclassifiedFinancial Management Strategies, Inc. otherOtherSep 22, 2005Apr 26, 2000
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21 moves match.