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 Spectrum Wealth Management
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 |
|---|---|---|---|---|---|
| Gregory Richard Thompson | RBC Capital Markets, LLC national BD | Spectrum Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2020 | Feb 12, 2020 |
| Michael Everett Larson | Charles Schwab & Co., Inc. national BD | Spectrum Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 6, 2016 | Jan 24, 2022 (2119 d) |
| Robert Cletus Phillips | Raymond James & Associates, Inc. national BD | Spectrum Wealth Management other | Other | Oct 25, 2010 | Sep 1, 2011 (311 d) |
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3 moves match.