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 Wellington Shields 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 |
|---|---|---|---|---|---|
| Juan Pablo Rivero Ybarnegaray | Morgan Stanley wirehouse | Wellington Shields Capital Management, LLC independent RIA | Wirehouse to independent RIA | Jun 25, 2021 | Jun 20, 2021 |
| Charles Richard Thompson | Cobalt Asset Management, LP unclassified | Wellington Shields Capital Management, LLC independent RIA | Other | Dec 31, 2015 | Jan 22, 2025 (3310 d) |
| Geza John Marx | Marlcroft Asset Management LLC other | Wellington Shields Capital Management, LLC independent RIA | Other | Dec 31, 2014 | Sep 9, 2021 (2444 d) |
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3 moves match.