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 Personal Financial Consultants, Inc.
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 |
|---|---|---|---|---|---|
| Shana Lesch Ballard | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Personal Financial Consultants, Inc. independent RIA | Wirehouse to independent RIA | Apr 11, 2018 | Sep 14, 2018 (156 d) |
| Jonathan B Spector | Assembly Wealth other | Personal Financial Consultants, Inc. other | Other | Nov 12, 2014 | Oct 7, 2015 (329 d) |
| Nicole Russo Hanson | Valic Financial Advisors, Inc. other | Personal Financial Consultants, Inc. other | Other | Jun 7, 2004 | Aug 26, 2011 (2636 d) |
Page 1 of 1
3 moves match.