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 Tri-Star 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 |
|---|---|---|---|---|---|
| Maggie Xie Lauer | Cl Wealth Management LLC BD affiliated | Tri-Star Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2019 | Mar 27, 2019 (42 d) |
| Mark Andrew Wiacek | Independent Financial Group, LLC other | Tri-Star Financial other | Other | Jul 12, 2016 | Jun 29, 2016 |
| Mark Steven Rothstein | Centaurus Financial, Inc. other | Tri-Star Financial other | Other | Apr 11, 2013 | Jan 14, 2011 |
| Mark Steven Rothstein | Harmoney Financial Advisors, LLC unclassified | Tri-Star Financial other | Other | Dec 31, 2006 | Nov 12, 2008 (682 d) |
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4 moves match.