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 Pinnacle Peak Private Client Group, 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 |
|---|---|---|---|---|---|
| Tanner Ryan Welch | Bcg Securities, Inc. BD affiliated | Pinnacle Peak Private Client Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2021 | Jul 17, 2020 |
| Jason Robert Brown | Robert W. Baird & Co. Incorporated mixed wealth | Pinnacle Peak Private Client Group, LLC independent RIA | RIA to RIA | Dec 12, 2018 | Feb 8, 2019 (58 d) |
| Charles Ronald Burns | Bcg Securities, Inc. other | Pinnacle Peak Private Client Group, LLC other | Other | Apr 3, 2017 | Sep 5, 2017 (155 d) |
| Matthew Joseph Figueroa | Ameriprise Financial Services, LLC national BD | Pinnacle Peak Private Client Group, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2016 | Apr 18, 2016 |
| Brian Patrick Jack | Ameriprise Financial Services, LLC national BD | Pinnacle Peak Private Client Group, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 10, 2016 | Feb 5, 2016 |
| Teresa Flores | Ameriprise Financial Services, LLC national BD | Pinnacle Peak Private Client Group, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 8, 2016 | Feb 3, 2016 |
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6 moves match.