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 Gradient Capital Advisors, 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 |
|---|---|---|---|---|---|
| Eric Hans Yeager | Ameriprise Financial Services, LLC national BD | Gradient Capital Advisors, LLC other | Other | May 28, 2015 | May 28, 2015 |
| Rodney Allen Simms | Ameriprise Financial Services, LLC national BD | Gradient Capital Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 28, 2014 | Jan 23, 2014 |
| Eric Eugene Simms | Ameriprise Financial Services, LLC national BD | Gradient Capital Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 24, 2014 | Jan 23, 2014 |
| Timothy Akira Sagawa | Ameriprise Financial Services, LLC national BD | Gradient Capital Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 24, 2014 | Jan 22, 2014 |
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4 moves match.