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 Ballast Advisors, 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 |
|---|---|---|---|---|---|
| James Stephen Heimler | Gradient Advisors, LLC independent RIA | Ballast Advisors, LLC independent RIA | RIA to RIA | May 8, 2023 | Feb 7, 2025 (641 d) |
| Scott Andrew Peterson | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 8, 2017 | Feb 2, 2017 |
| Paul Louis Parnell | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 7, 2017 | Feb 2, 2017 |
| Michael James Nesheim | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 7, 2017 | Feb 2, 2017 |
| Richard Matthias Juckel | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 7, 2017 | Feb 2, 2017 |
| Luke Thomas Johnson | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 7, 2017 | Feb 2, 2017 |
| Steven Andrew Schmidt | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 3, 2017 | Feb 2, 2017 |
| Richard Gerard Gerczak | Ameriprise Financial Services, LLC national BD | Ballast Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 3, 2017 | Feb 2, 2017 |
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8 moves match.