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 Dividend Assets Capital, 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 |
|---|---|---|---|---|---|
| Emily Cales Harding | Morgan Stanley wirehouse | Dividend Assets Capital, LLC independent RIA | Wirehouse to independent RIA | Sep 25, 2023 | Jan 1, 2025 (464 d) |
| Marc David Saurborn | Private Advisor Group, LLC BD affiliated | Dividend Assets Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 17, 2022 | Jan 1, 2026 (1172 d) |
| James Glenn Haley | Truist Advisory Services, Inc. other | Dividend Assets Capital, LLC other | Other | Mar 1, 2017 | Apr 7, 2017 (37 d) |
| Michael Paul Kuehn | Icon Advisers, Inc. other | Dividend Assets Capital, LLC other | Other | Oct 7, 2015 | Oct 2, 2017 (726 d) |
| Eugene Francis Balerna | Alpha Investment Advisors, Inc. other | Dividend Assets Capital, LLC other | Other | Mar 16, 2015 | Mar 25, 2015 |
| Michael Wayne Nix | Greenwood Capital Associates, LLC other | Dividend Assets Capital, LLC other | Other | Jul 17, 2013 | Feb 20, 2014 (218 d) |
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6 moves match.