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 Regatta Capital Group, 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.

AdvisorFromToTypeLeftRegistered
John Stephen MccormickEp Wealth Advisors independent RIARegatta Capital Group, LLC independent RIARIA to RIANov 22, 2022Nov 28, 2022
Cameron MeekMorton Wealth independent RIARegatta Capital Group, LLC independent RIARIA to RIAAug 25, 2022Sep 16, 2022
Chloe Lee BarnettFidelity Personal And Workplace Advisors BD affiliatedRegatta Capital Group, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Apr 7, 2025 (1251 d)
Lindsey DiranianWells Fargo Advisors wirehouseRegatta Capital Group, LLC independent RIAWirehouse to independent RIANov 8, 2019Nov 26, 2019
Britt Morgan JoyceManhattan West Asset Management, LLC no RAUMRegatta Capital Group, LLC otherOtherJul 7, 2016Nov 14, 2016 (130 d)
Nicholas Kelly OzerWells Fargo Advisors wirehouseRegatta Capital Group, LLC otherOtherMay 12, 2015May 12, 2015
Lisa Ann MarguliesJ.P. Morgan Securities LLC wirehouseRegatta Capital Group, LLC independent RIAWirehouse to independent RIANov 12, 2014Dec 15, 2022 (2955 d)
Spencer Southard KellyEdward Jones national BDRegatta Capital Group, LLC otherOtherMay 6, 2008Nov 25, 2008 (203 d)
Russell Ralph MohbergEdward Jones national BDRegatta Capital Group, LLC otherOtherNov 14, 2007Jan 25, 2008 (72 d)
Page 1 of 1
9 moves match.