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 Cobiz Wealth
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 |
|---|---|---|---|---|---|
| Sandra Loraine Knecht | Schwab Wealth Advisory, Inc. other | Cobiz Wealth other | Other | Apr 4, 2016 | Apr 19, 2016 |
| Tami C Carroll | Equitable Advisors, LLC national BD | Cobiz Wealth other | Other | Feb 13, 2012 | Aug 19, 2013 (553 d) |
| Julie Fauble Pribble | Wagner Investment Management Inc. unclassified | Cobiz Wealth other | Other | Jun 30, 2010 | Jul 1, 2010 |
| Andres E Roodveldt | Charles Schwab & Co., Inc. national BD | Cobiz Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2010 | Jun 18, 2018 (2982 d) |
| Aaron Robert Anderson | Equitable Advisors, LLC national BD | Cobiz Wealth other | Other | Mar 3, 2010 | Nov 24, 2011 (631 d) |
| Traci Lynn Sarmiento | Wells Fargo Investments, LLC unclassified | Cobiz Wealth other | Other | Jun 6, 2006 | Aug 8, 2006 (63 d) |
| Daniel Evan Owens | Banc One Securities Corporation unclassified | Cobiz Wealth other | Other | May 18, 2006 | Oct 4, 2013 (2696 d) |
| George Dickson Griswold | Waters, Parkerson & Co., LLC other | Cobiz Wealth other | Other | May 5, 2006 | Jul 10, 2006 (66 d) |
| Rita Koch Day | Alexander Capital Management Group, Inc. unclassified | Cobiz Wealth other | Other | Apr 29, 2003 | Jan 1, 1999 |
Page 1 of 1
9 moves match.