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 Vertical Wealth, 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 |
|---|---|---|---|---|---|
| Christopher Michael Herrmann | Key Investment Services LLC other | Vertical Wealth, LLC state registered | Other | May 19, 2015 | May 4, 2016 (351 d) |
| Amanda Legler | Principal Securities, Inc. other | Vertical Wealth, LLC state registered | Other | Nov 21, 2014 | Dec 18, 2015 (392 d) |
| Dustin Mendenhall | Edward Jones national BD | Vertical Wealth, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 27, 2014 | Dec 18, 2015 (659 d) |
| Brian Joseph Wheeler | MML Investors Services, LLC other | Vertical Wealth, LLC state registered | Other | Nov 3, 2009 | Sep 28, 2011 (694 d) |
Page 1 of 1
4 moves match.