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 Safe Harbor Fiduciary, 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 |
|---|---|---|---|---|---|
| Karl Albert Hanna | Ameriprise Financial Services, LLC national BD | Safe Harbor Fiduciary, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2023 | Feb 21, 2024 (82 d) |
| Scott Ryan Mccaghren | Clearpoint Capital Management LLC unclassified | Safe Harbor Fiduciary, LLC independent RIA | Other | Apr 30, 2015 | Aug 19, 2015 (111 d) |
| Howard Bruce Marshall | Ameriprise Financial Services, LLC national BD | Safe Harbor Fiduciary, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2014 | Mar 20, 2023 (3290 d) |
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3 moves match.