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 Monterey Wealth
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 |
|---|---|---|---|---|---|
| Richard Lewis Holland | Wealthspire Retirement Advisory institutional | Monterey Wealth mixed wealth | Other | Mar 4, 2026 | May 1, 2026 (58 d) |
| Tyler Scott Henderson | Oxford Financial Partners independent RIA | Monterey Wealth mixed wealth | RIA to RIA | Dec 19, 2022 | Dec 16, 2022 |
| David E Duncan | LPL Financial LLC BD affiliated | Monterey Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 26, 2020 | May 19, 2020 |
| Jay William Cohen | LPL Financial LLC BD affiliated | Monterey Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 18, 2020 | May 19, 2020 |
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4 moves match.