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 Prospettiva 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 |
|---|---|---|---|---|---|
| Eric Robert Joynt | Sgl Investment Advisors, Inc. independent RIA | Prospettiva Financial independent RIA | RIA to RIA | Jun 6, 2022 | Nov 21, 2023 (533 d) |
| Holly Gillian Kindel | Occidental Asset Management, LLC independent RIA | Prospettiva Financial independent RIA | RIA to RIA | Jul 2, 2019 | Jul 2, 2019 |
| Sean A Fletcher | Fsc Securities Corporation other | Prospettiva Financial independent RIA | Other | Jan 12, 2011 | Aug 21, 2026 (5700 d) |
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3 moves match.