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 Rossmore Private Capital, 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 |
|---|---|---|---|---|---|
| Andrew Guy Baldassarre | UBS Financial Services Inc. wirehouse | Rossmore Private Capital, LLC independent RIA | Wirehouse to independent RIA | Jan 28, 2020 | Feb 12, 2020 |
| Matthew David Maclean | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rossmore Private Capital, LLC other | Other | May 2, 2017 | Nov 20, 2017 (202 d) |
| Brian Joseph Sheehan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rossmore Private Capital, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 2, 2017 | Jul 26, 2017 (85 d) |
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3 moves match.