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 Applied Financial Planning, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Marcelo Daniel Bernardo | LPL Financial LLC BD affiliated | Applied Financial Planning, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 21, 2020 | Dec 10, 2009 |
| Sean Christopher Walker | LPL Financial LLC BD affiliated | Applied Financial Planning, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 21, 2020 | Oct 24, 2018 |
| Andrea Jane Graham | LPL Financial LLC BD affiliated | Applied Financial Planning, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 21, 2020 | Oct 23, 2018 |
| Thomas Robert Graffeo | Voya Investment Management Co. LLC other | Applied Financial Planning, Inc. state registered | Other | Nov 5, 2008 | Dec 10, 2009 (400 d) |
| Matthew Scott Conner | LPL Financial LLC other | Applied Financial Planning, Inc. state registered | Other | Jul 2, 2008 | Jun 2, 2004 |
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5 moves match.