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 Gary Goldberg Planning Services
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 |
|---|---|---|---|---|---|
| Robert William Bruderman | Triad Advisors, LLC BD affiliated | Gary Goldberg Planning Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 21, 2019 | Jan 30, 2020 (70 d) |
| Joshua Shoshan | Deutsche Bank Securities Inc. other | Gary Goldberg Planning Services independent RIA | Other | Jul 2, 2019 | Jan 13, 2020 (195 d) |
| Karen J Winfrey-Leake | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gary Goldberg Planning Services other | Other | Apr 4, 2017 | Apr 6, 2017 |
| Andrew Joseph Leblanc | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Gary Goldberg Planning Services other | Other | Apr 4, 2017 | Apr 7, 2017 |
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4 moves match.