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 Financial Guard, 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 |
|---|---|---|---|---|---|
| Ann Bands Doyle | Clearbridge Investments, LLC other | Financial Guard, LLC other | Other | Apr 27, 2017 | Apr 26, 2017 |
| Roger Nmn Paradiso | Clearbridge Investments, LLC other | Financial Guard, LLC other | Other | Apr 26, 2017 | Apr 26, 2017 |
| James Rex Ivie | Osaic Wealth, Inc. other | Financial Guard, LLC no RAUM | Other | Jan 18, 2011 | Mar 10, 2011 (51 d) |
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3 moves match.