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 Guardian Capital Advisors, 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 |
|---|---|---|---|---|---|
| Suzanne G Barham | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Guardian Capital Advisors, LLC other | Other | May 6, 2010 | Aug 11, 2010 (97 d) |
| Jeffrey David Link | Stifel, Nicolaus & Company, Incorporated national BD | Guardian Capital Advisors, LLC other | Other | Feb 16, 2010 | Feb 16, 2010 |
| Michael Jay Hensley | Triad Advisors, LLC other | Guardian Capital Advisors, LLC other | Other | Jul 30, 2009 | Feb 2, 2011 (552 d) |
Page 1 of 1
3 moves match.