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 Gaines Financial Group

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.

AdvisorFromToTypeLeftRegistered
Todd Jarred SmilerWells Fargo Advisors wirehouseGaines Financial Group otherOtherOct 31, 2016Dec 7, 2016 (37 d)
Jeffrey Carl RubinWells Fargo Advisors wirehouseGaines Financial Group otherOtherJul 5, 2016Jul 15, 2016
Richard Mark TyrolerWells Fargo Advisors wirehouseGaines Financial Group otherOtherApr 1, 2016Apr 15, 2016
Jason Mathew ForstotWells Fargo Advisors wirehouseGaines Financial Group otherOtherApr 1, 2016Apr 14, 2016
Matthew John FountainAmeriprise Financial Services, LLC national BDGaines Financial Group otherOtherOct 6, 2015Oct 27, 2015
Eric Alan KaplanAmeriprise Financial Services, LLC national BDGaines Financial Group otherOtherDec 8, 2014Dec 17, 2014
Fernando GonzalezAmeriprise Financial Services, LLC national BDGaines Financial Group otherOtherDec 8, 2014Dec 12, 2014
Steven Joseph HaugAmeriprise Financial Services, LLC national BDGaines Financial Group otherOtherDec 8, 2014Dec 16, 2014
Tory Adams KlinedinstDavis Wealth Management otherGaines Financial Group otherOtherNov 20, 2014Nov 20, 2014
Keith Joseph DelaporteMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGaines Financial Group otherOtherApr 15, 2014Jun 9, 2014 (55 d)
Patrick AbrunzoIndependent Financial Partners otherGaines Financial Group otherOtherFeb 22, 2013Mar 28, 2012
Lynn PagansWells Fargo Advisors wirehouseGaines Financial Group independent RIAWirehouse to independent RIAOct 4, 2012Feb 24, 2020 (2699 d)
Christopher Dee SmithFifth Third Securities, Inc. otherGaines Financial Group otherOtherOct 4, 2012Nov 13, 2012 (40 d)
Jason R KnightCharles Schwab & Co., Inc. national BDGaines Financial Group otherOtherDec 23, 2011Jan 24, 2012 (32 d)
Omar Fernando CujarMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGaines Financial Group otherOtherNov 9, 2011Jan 9, 2012 (61 d)
James Bruce BarrAmeriprise Financial Services, LLC national BDGaines Financial Group otherOtherAug 9, 2011Sep 6, 2011
Joel Wayne JosephsNfp Advisor Services, LLC otherGaines Financial Group otherOtherMar 31, 2011Aug 23, 2011 (145 d)
Stephanie Yaun VokralCitigroup Global Markets Inc. otherGaines Financial Group otherOtherNov 25, 2005Aug 6, 2012 (2446 d)
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18 moves match.