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 Investment Management Group

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
Claudine Alisa JohnsonEdward Jones national BDInvestment Management Group otherOtherJan 22, 2025Dec 11, 2023
Marni Ann CowanLPL Financial LLC BD affiliatedInvestment Management Group otherOtherJan 26, 2024May 17, 2023
Reed Joseph McelyeaFidelity Personal And Workplace Advisors BD affiliatedInvestment Management Group mixed wealthAffiliated broker-dealer or bank to independent RIAMay 19, 2023Jun 10, 2026 (1118 d)
Kyle David GeffreLPL Financial LLC independent RIAInvestment Management Group otherOtherJun 25, 2019Jul 2, 2019
Hannah Lynne Santa CruzPeak Investment Management, Ltd otherInvestment Management Group otherOtherSep 13, 2016Sep 13, 2016
Eric Allen VermulmStack Financial Management Inc otherInvestment Management Group otherOtherJun 30, 2016Aug 18, 2016 (49 d)
Erika Danielle FerrisD.A. Davidson & Co. otherInvestment Management Group otherOtherJun 20, 2016Aug 18, 2016 (59 d)
Ronna Marie VogesCetera Investment Services LLC otherInvestment Management Group otherOtherApr 30, 2012Jun 20, 2024 (4434 d)
Stephen Leroy KetterlingOptima Capital Management state registeredInvestment Management Group otherOtherFeb 6, 2009Feb 5, 2009
Page 1 of 1
9 moves match.