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 Galvin, Gaustad & Stein, 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 Gene Millet | The Westerman Group, LLC unclassified | Galvin, Gaustad & Stein, LLC independent RIA | Other | Apr 3, 2026 | Dec 18, 2025 |
| Hunter James Davis | Securian Financial Services, Inc. independent RIA | Galvin, Gaustad & Stein, LLC independent RIA | RIA to RIA | Apr 11, 2023 | Jun 22, 2023 (72 d) |
| Jessica Galvin Pariser | Vanguard Advisers, Inc. BD affiliated | Galvin, Gaustad & Stein, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2018 | Aug 30, 2018 (38 d) |
| Stephen Lee Gaustad | Aegis Financial Group, Inc. unclassified | Galvin, Gaustad & Stein, LLC other | Other | Sep 28, 2010 | Oct 22, 2010 |
| Mark Paul Stein | Aegis Financial Group, Inc. unclassified | Galvin, Gaustad & Stein, LLC other | Other | Sep 28, 2010 | Oct 22, 2010 |
| Stephen Richard Galvin | Aegis Financial Group, Inc. unclassified | Galvin, Gaustad & Stein, LLC other | Other | Sep 28, 2010 | Sep 29, 2010 |
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6 moves match.