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 Kaizen Financial Advisors, 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 |
|---|---|---|---|---|---|
| Madison Williams | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Kaizen Financial Advisors, LLC independent RIA | Wirehouse to independent RIA | Sep 18, 2024 | Jan 8, 2025 (112 d) |
| Emily Jane Bushong | Pence Wealth Management, Inc. unclassified | Kaizen Financial Advisors, LLC independent RIA | Other | Dec 4, 2023 | Mar 6, 2026 (823 d) |
| Brian Douglas Gawthrop | Harvest Capital Advisors Inc. other | Kaizen Financial Advisors, LLC independent RIA | Other | Oct 8, 2010 | Oct 27, 2010 |
| Laurie Laverne Klein | Ameriprise Financial Services, LLC national BD | Kaizen Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2005 | Oct 27, 2010 (1995 d) |
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4 moves match.