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 Cascades Capital Asset Management, 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 |
|---|---|---|---|---|---|
| Jack Wilson Richardson | LPL Financial LLC independent RIA | Cascades Capital Asset Management, LLC independent RIA | RIA to RIA | Jan 19, 2018 | Jan 26, 2018 |
| Harry Albert Wellons | Morgan Stanley wirehouse | Cascades Capital Asset Management, LLC independent RIA | Wirehouse to independent RIA | Jun 10, 2014 | Jul 22, 2014 (42 d) |
| Barry Lee Carpenter | Old North State Trust, LLC other | Cascades Capital Asset Management, LLC independent RIA | Other | Mar 12, 2013 | Mar 7, 2014 (360 d) |
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3 moves match.