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 Act Advisors
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 |
|---|---|---|---|---|---|
| Dino Dziergas | Pruco Securities, LLC BD affiliated | Act Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2024 | Mar 20, 2024 (49 d) |
| Patrick Jennings Latta | Valic Financial Advisors, Inc. other | Act Advisors other | Other | Sep 17, 2015 | Sep 18, 2015 |
| Douglas Barry English | LPL Financial LLC other | Act Advisors no RAUM | Other | Dec 22, 2014 | Nov 19, 2014 |
| Roger Wesley Johnson | LPL Financial LLC other | Act Advisors no RAUM | Other | Dec 22, 2014 | Nov 19, 2014 |
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4 moves match.