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 Charter Wealth Management
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 |
|---|---|---|---|---|---|
| Cheryl Ann Sova | Ameriprise Financial Services, LLC national BD | Charter Wealth Management mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 21, 2023 | Jul 11, 2023 |
| Scott Alan Bacon | Suntrust Investment Services, Inc. other | Charter Wealth Management mixed wealth | Other | Apr 22, 2016 | Jan 5, 2017 (258 d) |
| Justin Michael Taylor | Duncan-Williams, Inc. other | Charter Wealth Management mixed wealth | Other | Mar 20, 2015 | Mar 20, 2015 |
| Brent Allen Plunkett | Hbw Advisory Services LLC other | Charter Wealth Management mixed wealth | Other | Apr 3, 2012 | Mar 22, 2012 |
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4 moves match.