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 View Capital Ria, LP

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.

AdvisorFromToTypeLeftRegistered
Pallavi SrivastavaRaymond James Financial Services Advisors, Inc BD affiliatedView Capital Ria, LP independent RIAAffiliated broker-dealer or bank to independent RIAJun 4, 2020Jul 15, 2021 (406 d)
Craig Lawrence CaudleSt. James Investment Company, LLC otherView Capital Ria, LP otherOtherOct 2, 2014Oct 2, 2014
Redding E MayMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseView Capital Ria, LP otherOtherMay 11, 2010Dec 1, 2011 (569 d)
Charles W DurhamMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseView Capital Ria, LP otherOtherMar 30, 2009Apr 20, 2009
Stephanie Adair ByrdKpmg Investment Advisors unclassifiedView Capital Ria, LP otherOtherNov 4, 2005Jun 20, 2007 (593 d)
Jaime Ernesto PalmerDeutsche Bank Securities Inc. otherView Capital Ria, LP otherOtherMar 9, 2005Feb 15, 2005
Raymond Craig BrubakerDeutsche Bank Securities Inc. otherView Capital Ria, LP otherOtherMay 13, 2004Feb 8, 2005 (271 d)
Jeffrey Gordon RuppDeutsche Bank Securities Inc. otherView Capital Ria, LP otherOtherApr 20, 2004May 12, 2004
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8 moves match.