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 Sgl Investment Advisors, Inc.

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.

AdvisorFromToTypeLeftRegistered
Marcus John WelnelPark Avenue Securities LLC BD affiliatedSgl Investment Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 23, 2024Feb 12, 2024
Kathleen O'DellS.G. Long & Company state registeredSgl Investment Advisors, Inc. independent RIAOtherFeb 1, 2024Mar 29, 2022
Thomas YoungLPL Financial LLC independent RIASgl Investment Advisors, Inc. independent RIARIA to RIANov 28, 2022Jan 4, 2023 (37 d)
Andrew Vern HarrisInvestment Management Group otherSgl Investment Advisors, Inc. independent RIAOtherAug 16, 2022Aug 24, 2022
Eric Robert JoyntS.G. Long & Company state registeredSgl Investment Advisors, Inc. independent RIAOtherJun 6, 2022Apr 4, 2022
Robbyn Michael RichardsonFidelis Wealth Advisors independent RIASgl Investment Advisors, Inc. independent RIARIA to RIAJun 12, 2019Jun 19, 2019
Kelsey Keanna HasterlikLord, Abbett & Co. LLC otherSgl Investment Advisors, Inc. otherOtherOct 2, 2013Oct 1, 2013
Kenneth Bernard HopkinsWaddell & Reed otherSgl Investment Advisors, Inc. otherOtherMay 17, 2013Oct 3, 2013 (139 d)
Melissa Mullins ShanhouseEdward Jones national BDSgl Investment Advisors, Inc. otherOtherApr 2, 2013Apr 22, 2013
Ernest Dale RooS.G. Long & Company state registeredSgl Investment Advisors, Inc. otherOtherDec 31, 2010Jan 24, 2011
Evad Patrick VanspooreS.G. Long & Company state registeredSgl Investment Advisors, Inc. otherOtherDec 31, 2010Jan 21, 2011
Donald Gifford GaumerWells Fargo Advisors wirehouseSgl Investment Advisors, Inc. otherOtherOct 9, 2009Feb 2, 2011 (481 d)
Robert Guy Isaac SeidenschwarzBts Asset Management, Inc. otherSgl Investment Advisors, Inc. otherOtherFeb 25, 2003Jan 21, 2011 (2887 d)
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13 moves match.