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 360 Financial

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
Mitchell Dennis ZweberWells Fargo Advisors wirehouse360 Financial independent RIAWirehouse to independent RIAAug 30, 2024Oct 3, 2024 (34 d)
Joseph Leonard RapackiFidere Advisors state registered360 Financial independent RIAOtherAug 22, 2023Aug 16, 2023
William Edward GrantNorthcoast Asset Management LLC independent RIA360 Financial independent RIARIA to RIAJul 10, 2023Aug 16, 2023 (37 d)
Michael Joel UrchBrown Wealth Management, LLC independent RIA360 Financial independent RIARIA to RIAMay 11, 2023May 22, 2023
Lauren Ann BrownLPL Financial LLC BD affiliated360 Financial independent RIAAffiliated broker-dealer or bank to independent RIAJul 28, 2021Aug 17, 2021
Grant Robert DressenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse360 Financial independent RIAWirehouse to independent RIAJun 10, 2021May 12, 2026 (1797 d)
Nicholas John AndresenCliftonlarsonallen Wealth Advisors, LLC BD affiliated360 Financial independent RIAAffiliated broker-dealer or bank to independent RIADec 14, 2018Jan 17, 2019 (34 d)
Thomas Arden WhitnahMorgan Stanley wirehouse360 Financial no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jan 12, 2011Aug 30, 2013 (961 d)
Daniel James MahoneyUBS Financial Services Inc. wirehouse360 Financial otherOtherMay 13, 2009Jul 28, 2014 (1902 d)
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9 moves match.