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 Ibaa
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 |
|---|---|---|---|---|---|
| Dempster Robert Cherry | Lindsey Financial, Inc. unclassified | Ibaa no RAUM | Other | Sep 13, 2016 | Aug 31, 2016 |
| Tony C Lim | Noriba Advisors no RAUM | Ibaa no RAUM | Other | Mar 9, 2016 | Sep 7, 2016 (182 d) |
| Paul Yee Lo | Key West Investments, LLC unclassified | Ibaa no RAUM | Other | Oct 14, 2015 | Sep 1, 2016 (323 d) |
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3 moves match.