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 Raffa Investment Advisers
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 |
|---|---|---|---|---|---|
| Juliana Micaela Francesca Ro Salamone | Strategic Advisers LLC national BD | Raffa Investment Advisers other | Other | Mar 3, 2026 | Apr 6, 2026 (34 d) |
| Joseph Donald Guest | Fairhaven Wealth Management, LLC independent RIA | Raffa Investment Advisers mixed wealth | RIA to RIA | Jun 1, 2020 | Feb 11, 2021 (255 d) |
| Kimberly Speese | Fidelity Personal And Workplace Advisors BD affiliated | Raffa Investment Advisers mixed wealth | Affiliated broker-dealer or bank to independent RIA | May 8, 2020 | Jul 7, 2020 (60 d) |
| John Patrick Mcauliffe | Commonwealth Financial Network national BD | Raffa Investment Advisers mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 11, 2018 | May 18, 2018 (37 d) |
| Chase Alan Smith Deters | Spire Wealth Management, LLC other | Raffa Investment Advisers other | Other | May 7, 2010 | Jul 15, 2010 (69 d) |
| Dennis Patrick Gogarty | Investors Security Company, Inc. other | Raffa Investment Advisers other | Other | Apr 5, 2006 | Jan 1, 2025 (6846 d) |
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6 moves match.