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 Pacific Capital
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 |
|---|---|---|---|---|---|
| Bruno Leopold Krenn | Thrivent Investment Management Inc. BD affiliated | Pacific Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2025 | Mar 11, 2025 (39 d) |
| Morgan Jeffrey Fippinger | Schwab Wealth Advisory, Inc. no RAUM | Pacific Capital independent RIA | Other | Jun 20, 2024 | Jul 10, 2024 |
| Randall Arthur Francis | LPL Financial LLC BD affiliated | Pacific Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2020 | Sep 18, 2024 (1490 d) |
| Joshua Coniglio | USA Financial Securities LLC independent RIA | Pacific Capital independent RIA | RIA to RIA | Aug 16, 2019 | Sep 18, 2024 (1860 d) |
| Darin Glen Tuttle | Keatsconnelly independent RIA | Pacific Capital independent RIA | RIA to RIA | Jul 9, 2018 | Jul 12, 2018 |
| Chad T Willardson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pacific Capital independent RIA | Wirehouse to independent RIA | Nov 21, 2011 | Jan 21, 2018 (2253 d) |
Page 1 of 1
6 moves match.