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 The Investment Advisor Alliance 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 |
|---|---|---|---|---|---|
| John David Danzer | Citizens Securities, Inc. BD affiliated | The Investment Advisor Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 20, 2020 | Apr 1, 2020 (41 d) |
| David Kwasi Manteau | MML Investors Services, LLC BD affiliated | The Investment Advisor Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 4, 2019 | Jan 4, 2021 (700 d) |
| Derek L Bough | Think Spending, LLC unclassified | The Investment Advisor Alliance LLC independent RIA | Other | Dec 31, 2018 | Sep 4, 2018 |
| Jodi Rudd | Wells Fargo Advisors wirehouse | The Investment Advisor Alliance LLC independent RIA | Wirehouse to independent RIA | Jul 10, 2018 | Jul 30, 2018 |
| Magan Kaur Zavislak | Pnc Wealth Management BD affiliated | The Investment Advisor Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2018 | Nov 13, 2018 (165 d) |
| Katherine Nicole Phillips | Bfc Planning, Inc. BD affiliated | The Investment Advisor Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 14, 2018 | May 15, 2018 |
| Caroline A Zuendel | Morgan Stanley wirehouse | The Investment Advisor Alliance LLC independent RIA | Wirehouse to independent RIA | Apr 27, 2018 | May 2, 2018 |
| Gavin Michael Ganzkow | Water Oak Advisors, LLC other | The Investment Advisor Alliance LLC independent RIA | Other | Feb 25, 2016 | May 2, 2019 (1162 d) |
| Eric Christopher Jackson | Securian Financial Services, Inc. other | The Investment Advisor Alliance LLC other | Other | Jun 13, 2007 | Apr 15, 2011 (1402 d) |
| Manuel A. Martinez | Morgan Stanley Dw Inc. unclassified | The Investment Advisor Alliance LLC other | Other | Mar 6, 2006 | Aug 8, 2008 (886 d) |
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10 moves match.