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 Rmc Financial 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 |
|---|---|---|---|---|---|
| Rodney Yutaka Nishikawa | Cetera Investment Advisers LLC BD affiliated | Rmc Financial Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 25, 2023 | Jul 31, 2023 |
| Mark Joseph Wong | First Allied Securities, Inc. other | Rmc Financial Advisors, LLC state registered | Other | Aug 21, 2007 | Sep 19, 2007 |
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2 moves match.