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 Mercadien Asset Management, LLC
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 |
|---|---|---|---|---|---|
| Emily Rose Kamen | RBC Capital Markets, LLC national BD | Mercadien Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2021 | Jan 6, 2021 |
| Alan John Chapman | Morgan Stanley wirehouse | Mercadien Asset Management, LLC other | Other | Apr 28, 2011 | Jul 19, 2011 (82 d) |
| Reginald William Burroughs | New England Securities Corporation other | Mercadien Asset Management, LLC other | Other | Mar 22, 2005 | Mar 18, 2005 |
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3 moves match.