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 Capitalrock Financial, 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 |
|---|---|---|---|---|---|
| Mackenzie C Rickman | Capital Wealth Planning, LLC independent RIA | Capitalrock Financial, LLC independent RIA | RIA to RIA | Dec 15, 2020 | Dec 5, 2017 |
| Andrew Joseph Krone | Pinnacle Advisory Group, Inc. independent RIA | Capitalrock Financial, LLC independent RIA | RIA to RIA | Sep 4, 2019 | Oct 2, 2019 |
| Nelson Pereira | Fidelity Personal And Workplace Advisors BD affiliated | Capitalrock Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2019 | Oct 25, 2019 (185 d) |
| Sean D Mcvey | Wells Fargo Advisors wirehouse | Capitalrock Financial, LLC independent RIA | Wirehouse to independent RIA | Oct 4, 2018 | Jan 30, 2019 (118 d) |
| Craig Daniel Price | Hayden Royal independent RIA | Capitalrock Financial, LLC independent RIA | RIA to RIA | Jun 5, 2018 | Jul 2, 2018 |
| Robin B Hanover | Moors & Cabot, Inc other | Capitalrock Financial, LLC independent RIA | Other | May 1, 2018 | Jun 26, 2018 (56 d) |
| Ryan Allen Frankel | Platinum Wealth Partners other | Capitalrock Financial, LLC independent RIA | Other | Dec 12, 2017 | Apr 30, 2018 (139 d) |
| Jenee C Peters | Platinum Wealth Partners other | Capitalrock Financial, LLC independent RIA | Other | Dec 11, 2017 | Jul 31, 2018 (232 d) |
| Troy M Mailloux | Quantitative Investment Decisions LLC no RAUM | Capitalrock Financial, LLC independent RIA | Other | Mar 23, 2016 | Dec 3, 2015 |
| Laurence Elliott Hulbert | M&I Investment Management Corp. other | Capitalrock Financial, LLC independent RIA | Other | Apr 1, 2011 | Apr 6, 2018 (2562 d) |
| Joshua Lee Smith | First Financial Capital Advisors LLC unclassified | Capitalrock Financial, LLC independent RIA | Other | Oct 21, 2010 | Jan 19, 2017 (2282 d) |
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11 moves match.