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 Legacy Planning & Associates, Inc.
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 |
|---|---|---|---|---|---|
| Elizabeth Anne Burgess | Voya Financial Advisors, Inc. BD affiliated | Legacy Planning & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2020 | Jan 27, 2020 |
| Joel David Heinlein | Wells Fargo Advisors wirehouse | Legacy Planning & Associates, Inc. independent RIA | Wirehouse to independent RIA | Nov 30, 2017 | Dec 13, 2017 |
| Vanessa Trinh Ly | Royal Advisors, LLC other | Legacy Planning & Associates, Inc. independent RIA | Other | Jan 5, 2015 | Jan 14, 2015 |
| Matthew Philip Erickson | Regal Investment Advisors LLC other | Legacy Planning & Associates, Inc. independent RIA | Other | Oct 14, 2013 | Oct 17, 2013 |
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4 moves match.