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 Private Client Group, 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 |
|---|---|---|---|---|---|
| Todd Eric Lunsford | Sagent Wealth Management other | Legacy Private Client Group, Inc. other | Other | Apr 26, 2012 | Sep 27, 2012 (154 d) |
| Matthew Philip Erickson | UBS Financial Services Inc. wirehouse | Legacy Private Client Group, Inc. other | Other | Apr 23, 2012 | Oct 2, 2012 (162 d) |
| Ryan Nicholas Shubin | Morgan Stanley wirehouse | Legacy Private Client Group, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 28, 2011 | Nov 23, 2011 |
| Roberto Roman | Morgan Stanley wirehouse | Legacy Private Client Group, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 28, 2011 | Nov 23, 2011 |
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4 moves match.