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 Certified Advisory Corp
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 |
|---|---|---|---|---|---|
| Matthew Patrick Murphy | Fidelity Personal And Workplace Advisors BD affiliated | Certified Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 20, 2022 | Sep 1, 2022 (134 d) |
| Rupert Charles Curry | B. Riley Wealth Advisors, Inc. BD affiliated | Certified Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2021 | Aug 11, 2021 |
| Delbert Wynn Smith | Equitable Advisors, LLC national BD | Certified Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2021 | Jul 30, 2021 |
| Jessica Leigh Hall | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Certified Advisory Corp independent RIA | Wirehouse to independent RIA | May 20, 2021 | Aug 13, 2021 (85 d) |
| Christopher Howard Toadvine | Stonebridge Financial Planning Group, LLC independent RIA | Certified Advisory Corp independent RIA | RIA to RIA | Jun 3, 2019 | Jun 4, 2019 |
| Justin Riley Spitler | E*Trade Capital Management, LLC other | Certified Advisory Corp other | Other | Jul 29, 2016 | Jan 23, 2018 (543 d) |
| Todd Jeffrey Tocco | Charles Schwab & Co., Inc. national BD | Certified Advisory Corp independent RIA | Affiliated broker-dealer or bank to independent RIA | May 6, 2010 | May 6, 2020 (3653 d) |
| Stephanie Lynn Baker-Estrella | Suntrust Investment Services, Inc. other | Certified Advisory Corp other | Other | Aug 15, 2006 | Feb 14, 2007 (183 d) |
| Vicki Denise Kovach | Colonial Asset Management Inc unclassified | Certified Advisory Corp other | Other | Jul 19, 2006 | Aug 15, 2006 |
| Richard Dale Patterson | Mutual Service Corporation unclassified | Certified Advisory Corp other | Other | Jun 5, 2006 | Jul 7, 2006 (32 d) |
Page 1 of 1
10 moves match.