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 Providence Capital 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 |
|---|---|---|---|---|---|
| David Huff | J.P. Morgan Securities LLC wirehouse | Providence Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Oct 4, 2023 | Oct 17, 2023 |
| Erin L Tatham | Meridian Investments unclassified | Providence Capital Advisors, LLC independent RIA | Other | Mar 21, 2018 | May 17, 2018 (57 d) |
| Stephen Patrick Ratcliffe | Northwestern Mutual Investment Services,LLC no RAUM | Providence Capital Advisors, LLC other | Other | Jun 28, 2016 | Jun 28, 2016 |
| Brian Summers Jones | Willingdon Wealth Management LLC other | Providence Capital Advisors, LLC no RAUM | Other | Feb 5, 2015 | Feb 2, 2015 |
| Thomas Michael Searson | Willingdon Wealth Management LLC other | Providence Capital Advisors, LLC no RAUM | Other | Feb 5, 2015 | Feb 2, 2015 |
| Melissa Stewart Wall | Deloitte Investment Advisors LLC unclassified | Providence Capital Advisors, LLC other | Other | Aug 18, 2004 | Sep 13, 2017 (4774 d) |
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6 moves match.