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 Lear Investment Management
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 |
|---|---|---|---|---|---|
| Gerald Keith Girand | Assetmark, Inc. BD affiliated | Lear Investment Management mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 12, 2020 | Mar 6, 2023 (844 d) |
| Lynn Sandt | Phlox Capital Management, LLC unclassified | Lear Investment Management independent RIA | Other | Nov 21, 2018 | May 1, 2020 (527 d) |
| Cody Lee Lummus | Wells Fargo Advisors wirehouse | Lear Investment Management other | Other | Aug 24, 2016 | Aug 22, 2016 |
| Frederick Wayne Lear | Sloan Investment Management, L.L.C. other | Lear Investment Management no RAUM | Other | Jan 28, 2015 | Jan 12, 2015 |
Page 1 of 1
4 moves match.