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 Providence Financial And Insurances, 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 |
|---|---|---|---|---|---|
| Eric K Dizon | Edward Jones national BD | Providence Financial And Insurances, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2026 | Jun 30, 2026 |
| Jake Isaac Sarnoff | Esi Financial Advisors independent RIA | Providence Financial And Insurances, Inc. independent RIA | RIA to RIA | Jul 1, 2025 | Aug 1, 2025 (31 d) |
| Zachary David Gunderson | LPL Financial LLC independent RIA | Providence Financial And Insurances, Inc. independent RIA | RIA to RIA | Nov 14, 2022 | Nov 16, 2023 (367 d) |
| Thuan Khai Lam | Osaic Fs, Inc. BD affiliated | Providence Financial And Insurances, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2022 | May 1, 2025 (1126 d) |
| Anthony Alan Saccaro | Voya Financial Advisors, Inc. other | Providence Financial And Insurances, Inc. independent RIA | Other | Feb 19, 2008 | Nov 9, 2011 (1359 d) |
Page 1 of 1
5 moves match.