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 Ethos 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Stephen Michael Northington | LPL Financial LLC BD affiliated | Ethos Capital Group, LLC other | Other | May 21, 2021 | Jun 9, 2021 |
| Jay Michael Frederick | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ethos Capital Group, LLC other | Other | Feb 12, 2009 | Sep 27, 2021 (4610 d) |
| Lauren Rose Tanksley | Morgan Stanley Dw Inc. unclassified | Ethos Capital Group, LLC other | Other | Oct 16, 2006 | Jan 1, 2010 (1173 d) |
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3 moves match.