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 Aegis Capital, 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 |
|---|---|---|---|---|---|
| Karen Lee Zaramba | Commonwealth Financial Network national BD | Aegis Capital, LLC other | Other | Nov 2, 2009 | Nov 4, 2009 |
| Stephen Douglas Norton | Sagepoint Financial, Inc. other | Aegis Capital, LLC other | Other | Jul 12, 2006 | Oct 4, 2006 (84 d) |
| Joseph Weston Norton | Tca Financial Group, LLC unclassified | Aegis Capital, LLC other | Other | May 26, 2006 | Jan 27, 2009 (977 d) |
| Stephen Douglas Norton | Woodbury Financial Services, Inc. other | Aegis Capital, LLC other | Other | Aug 4, 2003 | Aug 12, 2004 (374 d) |
| Christopher R Bice | UBS Financial Services Inc. wirehouse | Aegis Capital, LLC other | Other | Apr 25, 2002 | Jan 16, 2004 (631 d) |
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5 moves match.