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 Clg 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 |
|---|---|---|---|---|---|
| Robert Michael Koerner | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Dec 15, 2023 |
| Elizabeth Anne Mcelravey | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jul 26, 2023 |
| Pamela Cartwright Eckenrode | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 1, 2025 (367 d) |
| Robert Harold Sowder | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 13, 2023 |
| Kimberley Kasarda Neff | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 1, 2025 (367 d) |
| Jon Wayne Bemis | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 28, 2023 |
| Richard Peter Moran | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 26, 2023 |
| Paul Francis Heising | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 3, 2025 (369 d) |
| Alice Clara-Mae Amick | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Sep 28, 2023 |
| Christian Luke Fermin | Cetera Investment Advisers LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2023 | Jan 16, 2026 (747 d) |
| Michael Louis Bishop | Cetera Advisor Networks LLC BD affiliated | Clg LLC no RAUM | Other | Jun 29, 2023 | Dec 27, 2016 |
| Elizabeth Cartwright Carr | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Jun 29, 2023 | Feb 16, 2017 |
| Kenneth Scott Lee | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Jun 29, 2023 | Mar 25, 2017 |
| David Charles Neff | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Jun 29, 2023 | Jan 30, 2017 |
| Sarah Cartwright Ehmann | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Jun 29, 2023 | Feb 16, 2017 |
| Kurt Robert Ehmann | Cetera Advisor Networks LLC BD affiliated | Clg LLC no RAUM | Other | Jun 29, 2023 | Dec 27, 2016 |
| Eric Van Anspach | Cetera Advisor Networks LLC BD affiliated | Clg LLC no RAUM | Other | Jun 29, 2023 | Dec 27, 2016 |
| Dennis C Smith | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Jun 29, 2023 | Jan 30, 2017 |
| Gerald E Mitchell | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Jun 29, 2023 | Feb 16, 2017 |
| Bryan Anthony Hernandez | Cetera Advisor Networks LLC BD affiliated | Clg LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 | Feb 27, 2018 |
| Connor Christopher Campbell | Cetera Advisor Networks LLC BD affiliated | Clg LLC no RAUM | Other | Jun 29, 2023 | Jan 26, 2017 |
| Ian M Grove | Mantis Financial Partners, Inc. unclassified | Clg LLC independent RIA | Other | Mar 27, 2020 | Feb 27, 2020 |
| Michael Thomas Mcdaid | Td Ameritrade Investment Management, LLC independent RIA | Clg LLC independent RIA | RIA to RIA | Dec 5, 2019 | Dec 18, 2019 |
| John David Cartwright | Cetera Advisor Networks LLC BD affiliated | Clg LLC other | Other | Sep 12, 2019 | Feb 16, 2017 |
| Harry Martin Kitter | Cetera Advisor Networks LLC BD affiliated | Clg LLC no RAUM | Other | May 1, 2018 | Jan 17, 2017 |
| Jemuel M Abarientos | Cetera Advisor Networks LLC other | Clg LLC other | Other | Dec 12, 2017 | Mar 2, 2017 |
| Alison K Sabran | Ep Wealth Advisors other | Clg LLC other | Other | Jan 31, 2017 | Apr 11, 2017 (70 d) |
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27 moves match.