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 Grace Capital 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 |
|---|---|---|---|---|---|
| David Fischer | Equitable Advisors, LLC national BD | Grace Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2019 | Dec 20, 2019 |
| David James Lloyd | Triad Advisors, LLC other | Grace Capital Management, LLC other | Other | Sep 11, 2017 | Mar 27, 2017 |
| Timothy J Rigsby | Triad Advisors, LLC other | Grace Capital Management, LLC other | Other | Sep 11, 2017 | Mar 27, 2017 |
| George Roger Duff | Duff & Boynton, LLC unclassified | Grace Capital Management, LLC other | Other | Dec 16, 2009 | Apr 30, 2009 |
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4 moves match.