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 October Effect Ltd.
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 |
|---|---|---|---|---|---|
| Kevin Matthew James | Osaic Fa, Inc. BD affiliated | October Effect Ltd. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2023 | Mar 8, 2023 |
| Kevin Stephen Moravek | Osaic Fa, Inc. BD affiliated | October Effect Ltd. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2019 | Jan 14, 2020 |
| Frank David Tehel | Osaic Fa, Inc. other | October Effect Ltd. independent RIA | Other | Nov 24, 2015 | Nov 25, 2015 |
| Neely Kathleen Elstrodt | Osaic Fa, Inc. other | October Effect Ltd. independent RIA | Other | Nov 19, 2015 | Nov 17, 2017 (729 d) |
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4 moves match.