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 Investors Financial Group

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.

AdvisorFromToTypeLeftRegistered
Connor Monahan GaarderAmeriprise Financial Services, LLC national BDInvestors Financial Group independent RIAAffiliated broker-dealer or bank to independent RIAJun 8, 2020Jun 30, 2020
Lucas J AndersonAmeriprise Financial Services, LLC national BDInvestors Financial Group independent RIAAffiliated broker-dealer or bank to independent RIAJun 3, 2020Jun 24, 2020
Jeffrey Roger DoomMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseInvestors Financial Group otherOtherMar 1, 2016Feb 29, 2016
William SnuggerudUBS Financial Services Inc. wirehouseInvestors Financial Group otherOtherFeb 16, 2016Feb 9, 2016
Michael T TervoUBS Financial Services Inc. wirehouseInvestors Financial Group otherOtherSep 24, 2015Sep 16, 2015
Evan John MeyerTd Ameritrade, Inc. no RAUMInvestors Financial Group otherOtherJan 6, 2015Jun 8, 2016 (519 d)
Daniel Paul StolfaLPL Financial LLC otherInvestors Financial Group otherOtherDec 11, 2014Feb 13, 2015 (64 d)
Thomas Allan MillerWaddell & Reed otherInvestors Financial Group otherOtherMar 6, 2014Feb 28, 2014
Richard Mark BerquistWaddell & Reed otherInvestors Financial Group otherOtherFeb 10, 2014Jan 31, 2014
Matthew Jon FinleyAmeriprise Financial Services, LLC national BDInvestors Financial Group otherOtherJul 18, 2013Jan 13, 2014 (179 d)
Eric Thomas NormanAmeriprise Financial Services, LLC national BDInvestors Financial Group otherOtherJul 17, 2013Jan 13, 2014 (180 d)
Tyler Scott ChristensonUBS Financial Services Inc. wirehouseInvestors Financial Group otherOtherMay 10, 2013Sep 18, 2013 (131 d)
Mikael Daniel HallstromAmeriprise Financial Services, LLC national BDInvestors Financial Group otherOtherApr 17, 2012Nov 14, 2014 (941 d)
Lauren GriggsAmeriprise Financial Services, LLC national BDInvestors Financial Group otherOtherAug 23, 2011Sep 26, 2011 (34 d)
Timothy David GaarderMutual Service Corporation unclassifiedInvestors Financial Group otherOtherSep 8, 2009Jan 4, 2011 (483 d)
Stephen Christopher NorthMutual Service Corporation unclassifiedInvestors Financial Group otherOtherSep 8, 2009Aug 17, 2011 (708 d)
James Lawrence ChappleMutual Service Corporation unclassifiedInvestors Financial Group otherOtherSep 8, 2009Jan 16, 2014 (1591 d)
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17 moves match.