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 Neal Financial Group, L.P.
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 |
|---|---|---|---|---|---|
| Marie Antoinette Navarre | LPL Financial LLC BD affiliated | Neal Financial Group, L.P. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 12, 2025 | Mar 21, 2003 |
| Steven Martin Ruderman | LPL Financial LLC BD affiliated | Neal Financial Group, L.P. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2024 | Nov 4, 2009 |
| Jason Lee Mcgarraugh | LPL Financial LLC BD affiliated | Neal Financial Group, L.P. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 30, 2024 | Feb 9, 2007 |
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3 moves match.