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 Commonwealth Financial Services, 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 |
|---|---|---|---|---|---|
| Daniel Lee Spurgeon | LPL Financial LLC other | Commonwealth Financial Services, LLC other | Other | Dec 5, 2014 | Oct 14, 2014 |
| Michael Charles Seese | LPL Financial LLC other | Commonwealth Financial Services, LLC other | Other | Dec 21, 2011 | Sep 1, 2010 |
| Roger Eugene Woodruff | LPL Financial LLC other | Commonwealth Financial Services, LLC other | Other | Dec 21, 2011 | Sep 2, 2010 |
| Craig Kevin Seachrist | LPL Financial LLC other | Commonwealth Financial Services, LLC other | Other | Mar 2, 2011 | Mar 3, 2011 |
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4 moves match.