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 Professional Financial Advisors, 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 |
|---|---|---|---|---|---|
| Troy Eugene Fry | Wells Fargo Advisors wirehouse | Professional Financial Advisors, LLC independent RIA | Wirehouse to independent RIA | May 29, 2024 | May 30, 2024 |
| Mark Allan Mayfield | LPL Financial LLC BD affiliated | Professional Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2020 | Sep 17, 2020 |
| Marc William Werkmeister | Sagepoint Financial, Inc. BD affiliated | Professional Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | May 19, 2015 |
| Douglas De Wayne Peterson | Sagepoint Financial, Inc. other | Professional Financial Advisors, LLC independent RIA | Other | Nov 30, 2015 | May 19, 2015 |
| Bernard Roy Wurts | Sagepoint Financial, Inc. other | Professional Financial Advisors, LLC independent RIA | Other | Nov 30, 2015 | May 19, 2015 |
Page 1 of 1
5 moves match.