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 Lake Point Wealth Management, 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 |
|---|---|---|---|---|---|
| Samuel Hume | Pnc Managed Account Solutions, Inc. BD affiliated | Lake Point Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 2, 2021 | Jul 9, 2021 (37 d) |
| Brent Williams | Pnc Managed Account Solutions, Inc. BD affiliated | Lake Point Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2021 | Jul 2, 2021 (46 d) |
| Anna M Apodaca | Td Ameritrade, Inc. no RAUM | Lake Point Wealth Management, LLC independent RIA | Other | Dec 31, 2020 | Apr 12, 2021 (102 d) |
| Dennis Ryan Overstreet | Ae Wealth Management, LLC independent RIA | Lake Point Wealth Management, LLC independent RIA | RIA to RIA | Jul 17, 2020 | Jul 6, 2018 |
| Troy Michael Knight-Miller | Bok Financial Advisors BD affiliated | Lake Point Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2019 | Oct 10, 2019 |
| Michele Yvette Bergeron | J.P. Morgan Securities LLC wirehouse | Lake Point Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Aug 14, 2018 | Aug 21, 2018 |
| Stewart Embry Fields | Advisor Resource Council other | Lake Point Wealth Management, LLC other | Other | Sep 23, 2015 | May 26, 2016 (246 d) |
| James Jeffrey Proctor | Sagepoint Financial, Inc. other | Lake Point Wealth Management, LLC other | Other | Jul 16, 2014 | Oct 21, 2014 (97 d) |
| Jonathan Kent Lawton | Comerica Securities other | Lake Point Wealth Management, LLC other | Other | Feb 24, 2014 | Jun 3, 2014 (99 d) |
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9 moves match.