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 Capital Asset Management, 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 |
|---|---|---|---|---|---|
| Terry Morris Anderson | First Allied Advisory Services, Inc. BD affiliated | Capital Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2020 | Jun 9, 2017 |
| Gustavo Gonzalez | First Allied Advisory Services, Inc. BD affiliated | Capital Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2020 | Mar 6, 2017 |
| Matthew David Hickey | First Allied Advisory Services, Inc. BD affiliated | Capital Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2019 | Aug 17, 2016 |
| Kathleen Diane Osborne-Davis | Valic Financial Advisors, Inc. other | Capital Asset Management, LLC independent RIA | Other | Mar 7, 2018 | Jun 24, 2019 (474 d) |
| Joseph Charles Maslowski | J.P. Morgan Securities LLC wirehouse | Capital Asset Management, LLC independent RIA | Wirehouse to independent RIA | Jan 28, 2009 | Feb 15, 2018 (3305 d) |
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5 moves match.