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 Preisz Financial
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 |
|---|---|---|---|---|---|
| William Robert Sample | Ameriprise Financial Services, LLC national BD | Preisz Financial mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2025 | Sep 30, 2025 (34 d) |
| Adriana Ramos Courts | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Preisz Financial mixed wealth | Wirehouse to independent RIA | Jun 9, 2017 | Feb 28, 2022 (1725 d) |
| Geoffrey Denison Laroche | Ameriprise Financial Services, LLC national BD | Preisz Financial other | Other | Jan 22, 2013 | Feb 14, 2013 |
| Carol Quillian Bethune | Ameriprise Financial Services, LLC national BD | Preisz Financial other | Other | Dec 9, 2003 | Jun 19, 2007 (1288 d) |
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4 moves match.