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 Swmg Holdings, 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 |
|---|---|---|---|---|---|
| Curt Richard Mangold | Cantella & Co., Inc. BD affiliated | Swmg Holdings, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2022 | Jan 21, 2022 |
| David Stephen Brown | Truist Advisory Services, Inc. other | Swmg Holdings, LLC no RAUM | Other | May 18, 2017 | May 23, 2017 |
| James Orren Sims | Raymond James & Associates, Inc. national BD | Swmg Holdings, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 3, 2017 | Feb 27, 2017 |
| Scott Richard Bishop | Raymond James & Associates, Inc. national BD | Swmg Holdings, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 3, 2017 | Feb 17, 2017 |
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4 moves match.