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 Globalt Investments

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
Annette Michelle MarshallTriad Advisors, LLC BD affiliatedGlobalt Investments independent RIAAffiliated broker-dealer or bank to independent RIANov 3, 2021Nov 1, 2021
Denise ChisolmSynovus Securities, Inc. independent RIAGlobalt Investments independent RIARIA to RIAJun 9, 2021Nov 9, 2018
Jairus Keith BuchananInvictus Capital Investors independent RIAGlobalt Investments independent RIARIA to RIADec 31, 2018Mar 18, 2019 (77 d)
Craig M LongSynovus Securities, Inc. BD affiliatedGlobalt Investments otherOtherAug 20, 2018Feb 28, 2017
Drake John CraigHerndon Capital Management, LLC otherGlobalt Investments independent RIAOtherAug 9, 2016Oct 30, 2018 (812 d)
Marc Otha SydnorHerndon Capital Management, LLC otherGlobalt Investments independent RIAOtherJul 28, 2016Apr 26, 2022 (2098 d)
James Gordon KishVirtus Capital Advisers, LLC otherGlobalt Investments otherOtherApr 7, 2016Jul 27, 2017 (476 d)
Thomas Andrew MartinGfo Advisory Services, LLC otherGlobalt Investments otherOtherAug 18, 2014Aug 19, 2014
Garrett H BrookesGuggenheim Investments otherGlobalt Investments otherOtherFeb 11, 2014Mar 25, 2015 (407 d)
Eric Evan MomcilovichAmeriprise Financial Services, LLC national BDGlobalt Investments otherOtherAug 20, 2007Mar 4, 2016 (3119 d)
William Henry RoachSynovus Investment Advisors, Inc. unclassifiedGlobalt Investments otherOtherMay 30, 2007Aug 14, 2013 (2268 d)
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11 moves match.