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 Rockdale Financial Services, Inc.
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 |
|---|---|---|---|---|---|
| Mitchell Nelson | Stonex Advisors Inc. BD affiliated | Rockdale Financial Services, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 21, 2021 | Nov 23, 2021 (33 d) |
| Neil Kenneth Piper | Invest Financial Corporation other | Rockdale Financial Services, Inc. state registered | Other | Feb 20, 2018 | Oct 23, 2003 |
| Daniel Romero Chen | Vestax Securities Corporation unclassified | Rockdale Financial Services, Inc. state registered | Other | Jan 1, 2004 | Oct 31, 2003 |
| Stephen William Richman | Vestax Securities Corporation unclassified | Rockdale Financial Services, Inc. state registered | Other | Jan 1, 2004 | Nov 3, 2003 |
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4 moves match.