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 Sycamore Financial Planning, 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 |
|---|---|---|---|---|---|
| John Howard Abernethy | Vanguard Advisers, Inc. BD affiliated | Sycamore Financial Planning, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 7, 2022 | May 30, 2023 (265 d) |
| Ethan Brendan Earles | Commonwealth Financial Network national BD | Sycamore Financial Planning, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 3, 2021 | Feb 23, 2022 (296 d) |
| Travis Dayne Tracy | Raleigh Capital Management Inc. independent RIA | Sycamore Financial Planning, LLC state registered | RIA to a state-registered adviser | Jul 23, 2018 | Jan 30, 2019 (191 d) |
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3 moves match.