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 Caldwell Advisors, 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 |
|---|---|---|---|---|---|
| Aaron Alan Zauner | Fidelity Personal And Workplace Advisors BD affiliated | Caldwell Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2021 | May 28, 2021 |
| Ryan Kenneth Snover | Fifth Third Securities, Inc. other | Caldwell Advisors, LLC other | Other | Jun 20, 2016 | Jun 22, 2016 |
| Beverly Ogles Davis | Beam Wealth Advisors, Inc. other | Caldwell Advisors, LLC other | Other | Oct 2, 2015 | Jun 15, 2015 |
| David Scott Steinfeld | Raymond James Financial Services Advisors, Inc other | Caldwell Advisors, LLC independent RIA | Other | Jul 2, 2015 | Mar 31, 2020 (1734 d) |
| Jamie Rene Hogan | Morgan Stanley wirehouse | Caldwell Advisors, LLC other | Other | Jan 30, 2015 | Sep 13, 2016 (592 d) |
| Billy Ray Caldwell | Cambridge Equity Advisors Inc unclassified | Caldwell Advisors, LLC other | Other | Feb 27, 2008 | Dec 3, 2010 (1010 d) |
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6 moves match.