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 Carter, Terry & Company, 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.

AdvisorFromToTypeLeftRegistered
William Joshua LeeMML Investors Services, LLC BD affiliatedCarter, Terry & Company, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 29, 2023Apr 8, 2024 (131 d)
Jeffrey Paul ColbathStephens BD affiliatedCarter, Terry & Company, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 8, 2020Jan 31, 2020
William Henry BakerWilbanks Securities Advisory otherCarter, Terry & Company, Inc. independent RIAOtherJun 19, 2017Jun 8, 2017
Jeffry Joseph HaspelWilbanks Securities Advisory otherCarter, Terry & Company, Inc. independent RIAOtherJun 12, 2017Jun 2, 2017
Sandy Meyer LeffJanney Montgomery Scott LLC otherCarter, Terry & Company, Inc. independent RIAOtherOct 7, 2016Oct 21, 2016
Michael B BeecherCentaurus Financial, Inc. otherCarter, Terry & Company, Inc. independent RIAOtherOct 8, 2015Oct 28, 2015
George MooreAmeriprise Financial Services, LLC national BDCarter, Terry & Company, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 23, 2014Feb 16, 2015 (238 d)
Eric Nyle JonesAmeriprise Financial Services, LLC national BDCarter, Terry & Company, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 13, 2014Feb 14, 2014
Chesley Venable MortonB Riley Wealth Management otherCarter, Terry & Company, Inc. independent RIAOtherDec 17, 2013Dec 19, 2013
Adam Joseph CabibiL.M. Kohn & Company otherCarter, Terry & Company, Inc. independent RIAOtherJun 7, 2012Mar 10, 2017 (1737 d)
Joann Parker PenoviAmeriprise Advisor Services, Inc. unclassifiedCarter, Terry & Company, Inc. independent RIAOtherJun 2, 2009Jun 4, 2009
Matthew J SmithRaymond James Financial Services, Inc. unclassifiedCarter, Terry & Company, Inc. independent RIAOtherJan 31, 2005Jan 19, 2007 (718 d)
James Gary DiffleyWells Fargo Advisors wirehouseCarter, Terry & Company, Inc. independent RIAWirehouse to independent RIAMar 15, 2004Jul 7, 2004 (114 d)
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13 moves match.