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 Mindful Money
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 |
|---|---|---|---|---|---|
| Carrie A Sax | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Mindful Money independent RIA | Wirehouse to independent RIA | Aug 30, 2021 | Nov 1, 2021 (63 d) |
| Scott Bradley Jacobs | Benjamin Madison Wealth Advisors, LLC unclassified | Mindful Money independent RIA | Other | Jun 30, 2018 | Jul 5, 2018 |
| Jonathan K Deyoe | LPL Financial LLC other | Mindful Money no RAUM | Other | Oct 29, 2015 | Jan 13, 2014 |
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3 moves match.