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 Tectonic Advisors 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.

AdvisorFromToTypeLeftRegistered
Carla Parisi KeckAmeriprise Financial Services, LLC national BDTectonic Advisors LLC mixed wealthAffiliated broker-dealer or bank to independent RIAJul 27, 2022Aug 1, 2022
Steve MangoldNext Financial Group, Inc. BD affiliatedTectonic Advisors LLC otherOtherOct 31, 2019Nov 1, 2019
Juaquin Gabriel ArellanoSalient Capital Advisors, LLC otherTectonic Advisors LLC otherOtherApr 3, 2017Aug 10, 2017 (129 d)
Brittany Stephens SteitzSalient Capital Advisors, LLC otherTectonic Advisors LLC otherOtherApr 3, 2017Apr 7, 2017
Nancy Elaine DixonJ.P. Morgan Securities LLC wirehouseTectonic Advisors LLC otherOtherSep 8, 2016Mar 24, 2017 (197 d)
Arthur Haag ShermanSustainable Woodlands Partners, LLC otherTectonic Advisors LLC no RAUMOtherNov 11, 2011Apr 28, 2015 (1264 d)
Brad Robert SandersFirst Dallas Securities, Inc. otherTectonic Advisors LLC no RAUMOtherMar 9, 2009Mar 11, 2009
Robert K MoranMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseTectonic Advisors LLC no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jan 3, 2007Mar 14, 2007 (70 d)
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8 moves match.