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 Duncan Financial Management, Inc.
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 |
|---|---|---|---|---|---|
| Patrick Donald Guilfoy | Securian Financial Services, Inc. BD affiliated | Duncan Financial Management, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 19, 2020 | Sep 3, 2020 (197 d) |
| Andrew J Briesacher | Scottrade Investment Management BD affiliated | Duncan Financial Management, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 7, 2018 | Sep 5, 2018 (182 d) |
| Anthony Allen Striker | Edward Jones national BD | Duncan Financial Management, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 22, 2017 | Jan 4, 2018 (43 d) |
| Jeffrey Richard Duncan | Planmember Securities Corporation other | Duncan Financial Management, Inc. state registered | Other | Apr 30, 2009 | Sep 14, 2009 (137 d) |
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4 moves match.