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 Ctb Financial Services, Ltd.
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 |
|---|---|---|---|---|---|
| Austin J Bock | MML Investors Services, LLC BD affiliated | Ctb Financial Services, Ltd. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2019 | Nov 15, 2019 (290 d) |
| Patrick Andrew Foley | RBC Capital Markets, LLC national BD | Ctb Financial Services, Ltd. other | Other | Oct 24, 2013 | Mar 23, 2018 (1611 d) |
| Jonathan Wayne Liang | Geneos Wealth Management, Inc. other | Ctb Financial Services, Ltd. other | Other | May 3, 2006 | Mar 16, 2015 (3239 d) |
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3 moves match.