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 Spectrum Financial Alliance, Ltd., L.L.C.
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 |
|---|---|---|---|---|---|
| Vincent Conrad Montgomery | Fwg Investments, LLC independent RIA | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | RIA to RIA | Feb 12, 2025 | Jan 13, 2025 |
| Steven C Booth | Ameriprise Financial Services, LLC national BD | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2019 | Jul 25, 2019 (35 d) |
| Eric Peter White | Park Avenue Securities LLC BD affiliated | Spectrum Financial Alliance, Ltd., L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2018 | Oct 23, 2018 (88 d) |
| Charles Kelly Buckley | LPL Financial LLC other | Spectrum Financial Alliance, Ltd., L.L.C. other | Other | Jan 22, 2003 | Apr 29, 1997 |
Page 1 of 1
4 moves match.