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 Fsa Wealth 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 |
|---|---|---|---|---|---|
| Greg Gohr | Commonwealth Financial Network national BD | Fsa Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 1, 2022 | Apr 5, 2022 (63 d) |
| James Marc Morris | Commonwealth Financial Network national BD | Fsa Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2019 | Nov 13, 2019 |
| Simon John Heslop | Commonwealth Financial Network national BD | Fsa Wealth Management, LLC no RAUM | Other | Aug 16, 2019 | Aug 14, 2017 |
| Gavin Michael Morrissey | Commonwealth Financial Network national BD | Fsa Wealth Management, LLC no RAUM | Other | Aug 16, 2019 | Aug 14, 2017 |
| Meagan H Swanson Rogers | Commonwealth Financial Network national BD | Fsa Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2018 | Oct 16, 2018 (71 d) |
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5 moves match.