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 Needham & Company, 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 Morato Juco | Park Avenue Securities LLC BD affiliated | Needham & Company, LLC no RAUM | Other | Oct 19, 2022 | Oct 13, 2022 |
| Maximilian Cavallo | Morgan Stanley wirehouse | Needham & Company, LLC no RAUM | Other | Oct 6, 2022 | Sep 15, 2022 |
| William Joseph Dejianne | Nuveen Asset Management, LLC mixed wealth | Needham & Company, LLC no RAUM | Other | Aug 7, 2020 | Mar 20, 2021 (225 d) |
| David Michael Laufer | Oppenheimer & Co. Inc. BD affiliated | Needham & Company, LLC no RAUM | Other | Sep 20, 2019 | Feb 15, 2023 (1244 d) |
| Jonathan R Wilsusen | J.P. Morgan Securities LLC wirehouse | Needham & Company, LLC no RAUM | Other | May 29, 2019 | Feb 23, 2023 (1366 d) |
Page 1 of 1
5 moves match.