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 Ross, Sinclaire & Associates, 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.

AdvisorFromToTypeLeftRegistered
Bradley Clark PickrellFirst Kentucky Securities Corp independent RIARoss, Sinclaire & Associates, LLC independent RIARIA to RIAApr 1, 2020Apr 3, 2020
Bruce C CorwinRaymond James & Associates, Inc. national BDRoss, Sinclaire & Associates, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 20, 2019Jun 17, 2019
Martha L WeeksAmeriprise Financial Services, LLC national BDRoss, Sinclaire & Associates, LLC independent RIAAffiliated broker-dealer or bank to independent RIAFeb 21, 2019Feb 23, 2019
Kevin David ThompsonWaddell & Reed BD affiliatedRoss, Sinclaire & Associates, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 20, 2018Jun 13, 2018 (54 d)
Peter Eugene RainesCity Securities Corporation otherRoss, Sinclaire & Associates, LLC otherOtherDec 31, 2016Jun 13, 2017 (164 d)
Stanley James KatzClientfirst Financial Strategies, Inc. otherRoss, Sinclaire & Associates, LLC otherOtherJan 14, 2016Jan 13, 2016
Michael Scott GamesFifth Third Securities, Inc. otherRoss, Sinclaire & Associates, LLC otherOtherJul 15, 2014Jul 21, 2014
Carl David RobinsonCurian Capital, LLC otherRoss, Sinclaire & Associates, LLC otherOtherFeb 1, 2012Aug 5, 2013 (551 d)
Peter Paul BadenFry Hensley & Co otherRoss, Sinclaire & Associates, LLC otherOtherMar 31, 2011Mar 17, 2011
Eric BentleyUBS Financial Services Inc. wirehouseRoss, Sinclaire & Associates, LLC otherOtherMar 3, 2010Feb 12, 2010
Bradley Clark PickrellMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRoss, Sinclaire & Associates, LLC otherOtherFeb 18, 2010Feb 5, 2010
Omar GanoomButler, Wick & Co., Inc. unclassifiedRoss, Sinclaire & Associates, LLC otherOtherMar 9, 2009Feb 15, 2011 (708 d)
Eric Ralph PrallButler, Wick & Co., Inc. unclassifiedRoss, Sinclaire & Associates, LLC otherOtherMar 5, 2009Feb 11, 2011 (708 d)
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13 moves match.