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 Optima Capital Management
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 |
|---|---|---|---|---|---|
| Christian George Orms | Horizon Capital Partners LLC other | Optima Capital Management state registered | Other | Dec 31, 2012 | Apr 4, 2012 |
| Stephen Leroy Ketterling | Investment Management Group other | Optima Capital Management state registered | Other | Mar 24, 2010 | Sep 16, 2010 (176 d) |
| Stephen Leroy Ketterling | Charles Schwab & Co., Inc. national BD | Optima Capital Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 6, 2004 | Sep 29, 2004 (54 d) |
Page 1 of 1
3 moves match.