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 Prota Financial
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 |
|---|---|---|---|---|---|
| Brandon Krol | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prota Financial independent RIA | Wirehouse to independent RIA | Feb 11, 2025 | Dec 19, 2025 (311 d) |
| Joseph Ryan Moore | Optimum Investment Advisors, LLC independent RIA | Prota Financial independent RIA | RIA to RIA | Sep 22, 2022 | Feb 17, 2022 |
| Adam Lee Patten | Thrivent Investment Management Inc. BD affiliated | Prota Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2021 | Jan 13, 2021 |
| Bryan C Hays | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prota Financial independent RIA | Wirehouse to independent RIA | Jul 18, 2017 | Jul 14, 2017 |
| Fernando Diaz | Ameriprise Financial Services, LLC national BD | Prota Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 30, 2017 | Aug 9, 2017 (40 d) |
| Mark Radulovich | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prota Financial independent RIA | Wirehouse to independent RIA | May 3, 2016 | May 25, 2016 |
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6 moves match.