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 Red Oak Capital Management, Inc.
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 |
|---|---|---|---|---|---|
| Gabriel Shimon Salimi | Fifth Third Securities, Inc. BD affiliated | Red Oak Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2020 | Mar 11, 2020 |
| John Weaver Young | Hayden Royal independent RIA | Red Oak Capital Management, Inc. independent RIA | RIA to RIA | Nov 1, 2019 | Nov 1, 2019 |
| Lang Phu Nguyen | Cetera Advisors LLC BD affiliated | Red Oak Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 3, 2019 | May 7, 2019 (34 d) |
| Philip Herbert Ellis | Hayden Royal independent RIA | Red Oak Capital Management, Inc. independent RIA | RIA to RIA | Jan 28, 2019 | Mar 25, 2019 (56 d) |
| Philip Arthur Gleason | Hayden Royal independent RIA | Red Oak Capital Management, Inc. no RAUM | RIA to a newly registered adviser | Jan 4, 2019 | Jan 8, 2019 |
| Christopher David Delarme | Hayden Royal independent RIA | Red Oak Capital Management, Inc. independent RIA | RIA to RIA | Jan 4, 2019 | Feb 26, 2019 (53 d) |
| John Mccreary Susin | Hayden Royal independent RIA | Red Oak Capital Management, Inc. no RAUM | RIA to a newly registered adviser | Jan 4, 2019 | Oct 20, 2018 |
| Kim Dyson | Hayden Royal independent RIA | Red Oak Capital Management, Inc. independent RIA | RIA to RIA | Jan 4, 2019 | Feb 26, 2019 (53 d) |
| Thomas Edmund Connors | International Assets Investment Management, LLC other | Red Oak Capital Management, Inc. no RAUM | Other | Jan 2, 2018 | Sep 7, 2018 (248 d) |
| Samuel Sylvanus Mcninch | Kestra Advisory Services, LLC other | Red Oak Capital Management, Inc. no RAUM | Other | May 5, 2016 | Feb 5, 2019 (1006 d) |
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10 moves match.