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 Resources
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 |
|---|---|---|---|---|---|
| Nicholas Loberg | United Planners' Financial Services Of America A Limited Partner independent RIA | Spectrum Financial Resources independent RIA | RIA to RIA | May 24, 2022 | Sep 21, 2022 (120 d) |
| Kevin Findley Mcmillan | J.P. Morgan Securities LLC wirehouse | Spectrum Financial Resources other | Other | Apr 14, 2020 | Jun 1, 2020 (48 d) |
| Lucian Christopher Harbar | Securities America Advisors, Inc. other | Spectrum Financial Resources independent RIA | Other | May 22, 2017 | Oct 6, 2025 (3059 d) |
| Robert Paul Abraham | Ameriprise Financial Services, LLC national BD | Spectrum Financial Resources other | Other | Sep 29, 2014 | Oct 2, 2014 |
| James Daniel Williams | J.P. Morgan Securities LLC wirehouse | Spectrum Financial Resources other | Other | Jul 11, 2014 | Sep 15, 2014 (66 d) |
| David John Laidlaw | Next Financial Group, Inc. other | Spectrum Financial Resources independent RIA | Other | Jun 3, 2014 | Aug 20, 2026 (4461 d) |
| Carl Damien Gill | Asset Advisors, LLC unclassified | Spectrum Financial Resources other | Other | Nov 2, 2011 | Jan 11, 2012 (70 d) |
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7 moves match.