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 Exeter Financial, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Gary Lee Beveridge | Vicus Capital, Inc. independent RIA | Exeter Financial, LLC independent RIA | RIA to RIA | May 2, 2024 | May 1, 2024 |
| Christopher Paul Klein | Usaa Investment Services Company no RAUM | Exeter Financial, LLC independent RIA | Other | Jun 2, 2020 | Jul 31, 2020 (59 d) |
| Brian Keith Brummell | Nuveen Asset Management, LLC other | Exeter Financial, LLC other | Other | Sep 14, 2016 | Jan 20, 2017 (128 d) |
| Paul Christopher Ohanian | Wealthtrust Arizona other | Exeter Financial, LLC other | Other | Mar 3, 2008 | Jun 2, 2008 (91 d) |
| Stephen Leon Harrison | Ogilvie Security Advisors Corp other | Exeter Financial, LLC other | Other | May 4, 2007 | Apr 5, 2007 |
| Peter Westover Helms | Ogilvie Security Advisors Corp other | Exeter Financial, LLC other | Other | May 4, 2007 | Apr 5, 2007 |
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6 moves match.