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 Alethea Capital Management, 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 |
|---|---|---|---|---|---|
| Cullen O'Brien Roche | Orsus Investments, LLC unclassified | Alethea Capital Management, LLC other | Other | Aug 22, 2011 | Jun 8, 2012 (291 d) |
| Tony Hsu | Oppenheimer & Co. Inc. other | Alethea Capital Management, LLC independent RIA | Other | Mar 17, 2011 | Mar 13, 2025 (5110 d) |
| Stephen Michael Lafata | UBS Financial Services Inc. wirehouse | Alethea Capital Management, LLC other | Other | Aug 7, 2009 | Jun 8, 2011 (670 d) |
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3 moves match.