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 Navigo Wealth Management, 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 |
|---|---|---|---|---|---|
| Christel Lee Walker | RBC Capital Markets, LLC national BD | Navigo Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2016 | Apr 28, 2016 |
| Shabana Mansur Nathoo | Ameriprise Financial Services, LLC national BD | Navigo Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2014 | May 9, 2017 (1077 d) |
| Rory Axel Robertson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Navigo Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Aug 1, 2011 | Jul 25, 2011 |
| Mark Lee Cawyer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Navigo Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Dec 20, 2007 | Mar 5, 2008 (76 d) |
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4 moves match.