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 Maltin Wealth Management, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Sergio Daniel Rodriguez | Osaic Fa, Inc. BD affiliated | Maltin Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2023 | May 12, 2023 (64 d) |
| Gerald Zachary Brown | Janney Montgomery Scott LLC BD affiliated | Maltin Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2022 | May 24, 2022 (70 d) |
| Lauren Ann Ricca | Alliancebernstein L.P. other | Maltin Wealth Management, Inc. independent RIA | Other | Aug 8, 2019 | May 12, 2020 (278 d) |
| Michael Lynch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Maltin Wealth Management, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 12, 2012 | Sep 26, 2012 |
| Peter L Maltin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Maltin Wealth Management, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 11, 2012 | Sep 25, 2012 |
Page 1 of 1
5 moves match.