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 Planning 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Robert Roy Macke | Spc BD affiliated | Financial Planning Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2023 | Aug 4, 2023 |
| Noah Arthur Buehner | Scottrade Investment Management BD affiliated | Financial Planning Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2018 | Jan 19, 2022 (1475 d) |
| Jacob Aaron Schmidt | Osaic Fa, Inc. other | Financial Planning Services independent RIA | Other | Jan 5, 2015 | Jan 19, 2015 |
| Kenneth Paul Schmidt | 1st Global Advisors Inc other | Financial Planning Services independent RIA | Other | Nov 14, 2005 | Sep 5, 2007 (660 d) |
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4 moves match.