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 Alps Advisors, Inc.

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
Robert Ridgway MclaughlinAllio Advisors no RAUMAlps Advisors, Inc. asset managerOtherJun 14, 2022Aug 23, 2023 (435 d)
Jessica Lynn GauerkeUsadvisors Wealth Management, LLC independent RIAAlps Advisors, Inc. asset managerOtherJun 23, 2021Sep 27, 2021 (96 d)
Karl Josef ZellerM&T Securities, Inc. unclassifiedAlps Advisors, Inc. asset managerOtherJun 8, 2021Feb 4, 2022 (241 d)
Alecia Dawn WellenCharles Schwab & Co., Inc. national BDAlps Advisors, Inc. otherOtherMay 21, 2015May 27, 2015
Robert Douglas McclureCredit Suisse Securities (USA) LLC otherAlps Advisors, Inc. asset managerOtherApr 27, 2015Jul 5, 2023 (2991 d)
Eric Pendleton HewittColumbia Management Investment Advisers, LLC otherAlps Advisors, Inc. asset managerOtherMar 5, 2013Jan 25, 2023 (3613 d)
Laton Andrew SpahrColumbia Management Investment Advisers, LLC otherAlps Advisors, Inc. asset managerOtherAug 24, 2011Dec 11, 2022 (4127 d)
Alecia Dawn WellenCetera Advisors LLC otherAlps Advisors, Inc. otherOtherAug 17, 2009Aug 20, 2009
Christopher Michael ProctorElmhurst Financial unclassifiedAlps Advisors, Inc. asset managerOtherDec 31, 2006Aug 23, 2023 (6079 d)
Tara Jill NeckelCetera Advisor Networks LLC otherAlps Advisors, Inc. otherOtherJul 6, 2005Aug 9, 2007 (764 d)
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10 moves match.