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 Q3 Asset Management Corporation
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 |
|---|---|---|---|---|---|
| Mary Elizabeth Jones | Cetera Investment Advisers LLC BD affiliated | Q3 Asset Management Corporation mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2025 | Apr 14, 2026 (120 d) |
| Mary Elizabeth Jones | Osaic Wealth, Inc. BD affiliated | Q3 Asset Management Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 16, 2024 | Nov 20, 2024 (35 d) |
| John Alison Fahnestock | Gwn Securities Inc. BD affiliated | Q3 Asset Management Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2023 | Oct 18, 2023 |
| Joseph Olekszyk | Rehmann Wealth independent RIA | Q3 Asset Management Corporation independent RIA | RIA to RIA | Mar 27, 2023 | Jan 26, 2024 (305 d) |
| Michael Vincent Recchia | Hantz Financial Services, Inc. independent RIA | Q3 Asset Management Corporation independent RIA | RIA to RIA | Mar 11, 2019 | Apr 4, 2019 |
| Joel Timothy Bennett | Smartx Advisory Solutions no RAUM | Q3 Asset Management Corporation independent RIA | Other | Jan 16, 2019 | Aug 27, 2020 (589 d) |
| Amos Michael Sheena | Trustee Empowerment & Protection, Inc. other | Q3 Asset Management Corporation other | Other | May 9, 2011 | May 17, 2011 |
Page 1 of 1
7 moves match.