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 Tricor Advisory Services, 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
John Thomas HolcombeHornor, Townsend & Kent, LLC otherTricor Advisory Services, LLC otherOtherMay 24, 2013Jun 11, 2013
Mark Kenneth McgeeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseTricor Advisory Services, LLC otherOtherFeb 8, 2013Feb 1, 2013
Brent CowinCommonwealth Financial Network national BDTricor Advisory Services, LLC otherOtherDec 31, 2011Jan 3, 2012
Marty Michael MartinezOsaic Fs, Inc. otherTricor Advisory Services, LLC otherOtherJan 25, 2011Apr 17, 2012 (448 d)
Adam Bingham UdyUBS Financial Services Inc. wirehouseTricor Advisory Services, LLC otherOtherJan 11, 2011Jan 10, 2011
Patrick Allan JordanEdward Jones national BDTricor Advisory Services, LLC otherOtherFeb 1, 2010Jan 29, 2010
Craig Clark SpantonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseTricor Advisory Services, LLC otherOtherSep 24, 2009Nov 4, 2009 (41 d)
Chisum Marshall PrebleUBS Financial Services Inc. wirehouseTricor Advisory Services, LLC otherOtherSep 2, 2009Jun 29, 2011 (665 d)
Robert J KeyesOsaic Wealth, Inc. otherTricor Advisory Services, LLC otherOtherJun 15, 2009Jun 16, 2009
Jason Leonard GarofaloInvest Financial Corporation otherTricor Advisory Services, LLC otherOtherJun 20, 2007Jan 19, 2012 (1674 d)
Isaac Sidney GreeneInvest Financial Corporation otherTricor Advisory Services, LLC otherOtherJun 20, 2007Jan 20, 2012 (1675 d)
Elizabeth DelgadoInvest Financial Corporation otherTricor Advisory Services, LLC otherOtherJun 6, 2007Jan 19, 2012 (1688 d)
Joseph Dennis MclaughlinM.L. Stern & Co., LLC. unclassifiedTricor Advisory Services, LLC otherOtherJun 29, 2006Jun 25, 2009 (1092 d)
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13 moves match.