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 M3 Asset 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 |
|---|---|---|---|---|---|
| James Min Yoo | Morgan Stanley wirehouse | M3 Asset Management, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 16, 2014 | Jan 3, 2014 |
| Stephen Alexander Gilchrist | Morgan Stanley wirehouse | M3 Asset Management, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 16, 2014 | Jan 24, 2014 |
| Kon Son | Morgan Stanley wirehouse | M3 Asset Management, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 15, 2014 | Jan 3, 2014 |
| David Daejoon Kim | Wells Fargo Advisors wirehouse | M3 Asset Management, Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 7, 2014 | Jan 3, 2014 |
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4 moves match.