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 Smart401k, 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 |
|---|---|---|---|---|---|
| Joelle Rhea Morris | Financial Engines Advisor Center, LLC other | Smart401k, LLC other | Other | Sep 9, 2014 | Aug 20, 2014 |
| Joseph G Mcculloch | Sva Wealth Management, Inc. unclassified | Smart401k, LLC other | Other | Aug 27, 2009 | Nov 18, 2009 (83 d) |
| Charles Henry Koch | Lincoln Investment other | Smart401k, LLC other | Other | Jun 26, 2009 | Sep 17, 2009 (83 d) |
| Randy A Schaller | Searcy Financial Services, Inc. other | Smart401k, LLC other | Other | Dec 11, 2008 | Apr 11, 2011 (851 d) |
| Kevin Jaegers | J.P. Morgan Institutional Investments other | Smart401k, LLC other | Other | Feb 17, 2006 | Mar 1, 2006 |
Page 1 of 1
5 moves match.