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 Spectrum Strategic Capital Management, LLC
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 |
|---|---|---|---|---|---|
| Carolyn D Pentland | LPL Financial LLC other | Spectrum Strategic Capital Management, LLC other | Other | Apr 13, 2015 | May 15, 2015 (32 d) |
| Greg Bachman | 1st Global Advisors Inc other | Spectrum Strategic Capital Management, LLC other | Other | Apr 3, 2008 | Aug 19, 2016 (3060 d) |
| Benjamin Scott Meeker | 1st Global Advisors Inc other | Spectrum Strategic Capital Management, LLC independent RIA | Other | Apr 3, 2008 | Jan 1, 2025 (6117 d) |
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3 moves match.