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 Mosaic Family Wealth, 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 |
|---|---|---|---|---|---|
| Brian Jacob Knapp | Northwestern Mutual Investment Services,LLC no RAUM | Mosaic Family Wealth, LLC independent RIA | Other | Jun 7, 2021 | Jul 13, 2021 (36 d) |
| John Fischer | Visionary Wealth Advisors, LLC independent RIA | Mosaic Family Wealth, LLC independent RIA | RIA to RIA | Jun 2, 2021 | Jul 13, 2021 (41 d) |
| Joseph A Metcalf | Buckingham Strategic Wealth, LLC BD affiliated | Mosaic Family Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2019 | Sep 4, 2019 (105 d) |
| Joshua Jay Jerele | UBS Financial Services Inc. wirehouse | Mosaic Family Wealth, LLC independent RIA | Wirehouse to independent RIA | May 7, 2018 | Apr 6, 2018 |
| Steven Gregory Rotello | UBS Financial Services Inc. wirehouse | Mosaic Family Wealth, LLC independent RIA | Wirehouse to independent RIA | Nov 27, 2017 | Nov 10, 2017 |
| Tyler Campo | Edward Jones national BD | Mosaic Family Wealth, LLC other | Other | Jan 3, 2017 | Jan 11, 2017 |
| Zachary Steven Wagganer | Moneta Group Investment Advisors, LLC other | Mosaic Family Wealth, LLC other | Other | Jul 29, 2016 | Aug 1, 2016 |
| James Robert Steiner | Morgan Stanley wirehouse | Mosaic Family Wealth, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 9, 2015 | Feb 20, 2015 |
| Larry Keith Shikles | Morgan Stanley wirehouse | Mosaic Family Wealth, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 5, 2015 | Feb 20, 2015 |
| Duncan Scott Highmark | Morgan Stanley wirehouse | Mosaic Family Wealth, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 5, 2015 | Feb 20, 2015 |
| Gail Marie Wild | Morgan Stanley wirehouse | Mosaic Family Wealth, LLC independent RIA | Wirehouse to independent RIA | Mar 5, 2015 | Jun 26, 2020 (1940 d) |
| Michelle Kathleen Brown | Morgan Stanley wirehouse | Mosaic Family Wealth, LLC other | Other | Mar 5, 2015 | May 24, 2016 (446 d) |
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12 moves match.