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 Berman Capital 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 |
|---|---|---|---|---|---|
| Zach Elan Senft | Wells Fargo Advisors wirehouse | Berman Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Jun 24, 2021 | Aug 30, 2021 (67 d) |
| Bobby Lewis Morton | Voya Investment Management Co. LLC asset manager | Berman Capital Advisors, LLC independent RIA | Other | Mar 4, 2021 | Mar 22, 2021 |
| Michelle Franco Trivers | Rockefeller Capital Management BD affiliated | Berman Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 | Jun 16, 2021 (106 d) |
| Shannon D James | Morgan Stanley wirehouse | Berman Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | May 14, 2019 | May 17, 2019 |
| Ryan Walker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Berman Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Apr 17, 2019 | Aug 15, 2019 (120 d) |
| Whitney W Warmack | Stifel, Nicolaus & Company, Incorporated national BD | Berman Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2019 | Mar 26, 2019 (55 d) |
| Lacey Lynne Schoenbachler | Edge Advisors, LLC independent RIA | Berman Capital Advisors, LLC independent RIA | RIA to RIA | Apr 16, 2018 | May 1, 2018 |
| Cort Alan Haber | UBS Financial Services Inc. wirehouse | Berman Capital Advisors, LLC other | Other | Dec 23, 2016 | Feb 8, 2017 (47 d) |
| Charles John Nesmith | Integer Wealth Advisors Group, LLC other | Berman Capital Advisors, LLC independent RIA | Other | Jul 15, 2016 | Jan 7, 2020 (1271 d) |
| Joseph Parker Mitchell | Crawford Investment Counsel Inc other | Berman Capital Advisors, LLC other | Other | Jul 2, 2013 | Jul 5, 2016 (1099 d) |
| John Russell Allen | Globalt Inc other | Berman Capital Advisors, LLC other | Other | May 17, 2013 | Nov 9, 2017 (1637 d) |
| Wenyuan Tang Nottebohm | Morgan Stanley wirehouse | Berman Capital Advisors, LLC other | Other | Mar 8, 2012 | May 6, 2015 (1154 d) |
Page 1 of 1
12 moves match.