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 Round Rock 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 |
|---|---|---|---|---|---|
| Nydia E. Concepcion | Greenwich Investment Management, Inc. independent RIA | Round Rock Advisors LLC independent RIA | RIA to RIA | Nov 5, 2024 | Nov 3, 2024 |
| Heather Simon Sevillano | Greenwich Investment Management, Inc. independent RIA | Round Rock Advisors LLC independent RIA | RIA to RIA | Nov 5, 2024 | Nov 1, 2024 |
| Jin Hu | Greenwich Investment Management, Inc. independent RIA | Round Rock Advisors LLC independent RIA | RIA to RIA | Nov 5, 2024 | Nov 1, 2024 |
| Jeffrey Mitchell Shaw | Armstrong Shaw Associates Inc. independent RIA | Round Rock Advisors LLC independent RIA | RIA to RIA | Jan 31, 2024 | Sep 21, 2023 |
| Elaine Votier Biersack | Greenwich Investment Management, Inc. independent RIA | Round Rock Advisors LLC independent RIA | RIA to RIA | Nov 13, 2023 | May 30, 2024 (199 d) |
| Lynda Kommel-Browne | Private Advisor Group, LLC BD affiliated | Round Rock Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2022 | May 31, 2022 (120 d) |
| Robert Alan Weinstein | Cetera Advisor Networks LLC BD affiliated | Round Rock Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2021 | Feb 23, 2022 (54 d) |
| Eamon Hugh Moran | Wells Fargo Advisors wirehouse | Round Rock Advisors LLC independent RIA | Wirehouse to independent RIA | Nov 3, 2020 | Jan 5, 2021 (63 d) |
| Craig Dan Jensen | Altium Wealth Management LLC independent RIA | Round Rock Advisors LLC independent RIA | RIA to RIA | Oct 27, 2020 | Jan 24, 2020 |
| Scott Leonard Dynan | Western International Securities BD affiliated | Round Rock Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2020 | Sep 3, 2020 (91 d) |
| Matthew Chamberlin | Morgan Stanley wirehouse | Round Rock Advisors LLC independent RIA | Wirehouse to independent RIA | Apr 16, 2020 | Apr 22, 2020 |
| John Robert Planell | Ameriprise Financial Services, LLC national BD | Round Rock Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 24, 2017 | Apr 21, 2017 |
| Bert Thomas Bowler | Ameriprise Financial Services, LLC national BD | Round Rock Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 24, 2017 | May 3, 2017 |
| Dixon Place Downey | Ameriprise Financial Services, LLC national BD | Round Rock Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 24, 2017 | Apr 21, 2017 |
Page 1 of 1
14 moves match.