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 Hergenroeder Financial Advisors, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Kenneth Lloyd Mcquay | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hergenroeder Financial Advisors, Inc. independent RIA | Wirehouse to independent RIA | Apr 15, 2026 | May 6, 2026 |
| Jon Thomas Alan Snyder | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hergenroeder Financial Advisors, Inc. independent RIA | Wirehouse to independent RIA | Feb 10, 2021 | Mar 1, 2021 |
| Anthony Patrick Malizia | LPL Financial LLC other | Hergenroeder Financial Advisors, Inc. other | Other | Sep 8, 2016 | Mar 24, 2016 |
| Lisa Ann Hergenroeder | Choreo, LLC other | Hergenroeder Financial Advisors, Inc. other | Other | Feb 10, 2003 | Feb 4, 2003 |
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4 moves match.