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 Spectrum Wealth Management, 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 |
|---|---|---|---|---|---|
| Thomas Edmund Hatfield | First Financial Coaching, Inc. independent RIA | Spectrum Wealth Management, LLC state registered | RIA to a state-registered adviser | Jun 1, 2022 | May 29, 2022 |
| Thomas Edmund Hatfield | First Financial Coaching, Inc. independent RIA | Spectrum Wealth Management, LLC state registered | RIA to a state-registered adviser | Jun 1, 2022 | May 29, 2022 |
| Darrell Samuel Montgomery | LPL Financial LLC other | Spectrum Wealth Management, LLC state registered | Other | Apr 21, 2010 | Apr 16, 2010 |
| Lawrence Richard Buchholz | Jolliffe Capital, Inc. other | Spectrum Wealth Management, LLC state registered | Other | Apr 28, 2009 | Jul 31, 2007 |
Page 1 of 1
4 moves match.