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 North Capital
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 |
|---|---|---|---|---|---|
| Scott Michael Sams | Principal Asset Management other | North Capital independent RIA | Other | Aug 1, 2024 | Jun 17, 2026 (685 d) |
| James Theodore Celico | Transparent Investment Solutions LLC unclassified | North Capital independent RIA | Other | Sep 7, 2021 | May 1, 2023 (601 d) |
| Nicholas Brian Stecklein | Diversify Wealth Management LLC independent RIA | North Capital independent RIA | RIA to RIA | Jul 16, 2021 | Jul 13, 2021 |
| Joseph Carl Anderson | Park Avenue Securities LLC BD affiliated | North Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2020 | Aug 19, 2020 (194 d) |
| Paul Donald Bowers | Adi Dassler International Family Office USA Limited Partnership other | North Capital independent RIA | Other | Dec 3, 2018 | Jan 24, 2019 (52 d) |
| Bridgot Sharon Basile | Worthfm other | North Capital independent RIA | Other | Dec 31, 2017 | Sep 30, 2019 (638 d) |
| Justine Donna Elie | Avantax Advisory Services other | North Capital independent RIA | Other | Dec 12, 2016 | Nov 16, 2018 (704 d) |
| Ryan Rand Tingey | Structured Asset Investors, LLC other | North Capital other | Other | Oct 3, 2013 | Sep 5, 2014 (337 d) |
| Frances Evans Harkins | Grossman Financial Management other | North Capital other | Other | May 14, 2013 | Jun 14, 2013 (31 d) |
| Craig Keith Goos | UBS Financial Services Inc. wirehouse | North Capital other | Other | Mar 3, 2010 | Feb 2, 2012 (701 d) |
| James Patrick Dowd | Bear Stearns Asset Management Inc. other | North Capital other | Other | Oct 2, 2008 | Mar 6, 2009 (155 d) |
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11 moves match.