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 Dean Financial Services
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 |
|---|---|---|---|---|---|
| Matthew Tristen Theil | Dean Investments other | Dean Financial Services other | Other | Jun 14, 2011 | Mar 27, 2007 |
| Katherine Elizabeth Breitenstein | Ameriprise Financial Services, LLC national BD | Dean Financial Services other | Other | Sep 20, 2010 | Mar 14, 2011 (175 d) |
| Jennifer Jo Siefring | UBS Financial Services Inc. wirehouse | Dean Financial Services other | Other | Mar 3, 2010 | Jul 20, 2010 (139 d) |
| Mark Edward Schutter | Dean Investments other | Dean Financial Services other | Other | Dec 8, 2008 | Sep 16, 2004 |
| Alisa Lynn Livesay | Equitable Advisors, LLC national BD | Dean Financial Services other | Other | Aug 30, 2004 | Sep 15, 2004 |
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5 moves match.