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 Sprott Asset Management USA 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 |
|---|---|---|---|---|---|
| Anastasios N Thermos | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Sprott Asset Management USA Inc. mixed wealth | Wirehouse to independent RIA | Apr 13, 2026 | May 6, 2026 |
| Albert Keishi Lu | Wb Wealth Management unclassified | Sprott Asset Management USA Inc. other | Other | Dec 31, 2016 | Feb 16, 2017 (47 d) |
| Timothy Joseph Taschler | Stifel, Nicolaus & Company, Incorporated national BD | Sprott Asset Management USA Inc. other | Other | Aug 11, 2016 | Aug 12, 2016 |
| John M Barker | A.G.P / Alliance Global Partners other | Sprott Asset Management USA Inc. other | Other | Apr 26, 2016 | May 10, 2016 |
| Robert Virgil Villaflor | Regal Advisory Services, Inc. other | Sprott Asset Management USA Inc. mixed wealth | Other | Jun 1, 2015 | Jan 1, 2025 (3502 d) |
| Thomas Wayne Ulrich | Altegris Advisors, LLC other | Sprott Asset Management USA Inc. other | Other | Oct 5, 2012 | Oct 25, 2012 |
| Anthony John Bevilaqua | Zacks Investment Management, Inc. other | Sprott Asset Management USA Inc. independent RIA | Other | Nov 18, 2009 | Jan 4, 2019 (3334 d) |
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7 moves match.