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 Smallwood Wealth Management
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 |
|---|---|---|---|---|---|
| Kaitlyn Galgano | T. Rowe Price Associates, Inc. asset manager | Smallwood Wealth Management independent RIA | Other | Sep 16, 2022 | Oct 2, 2024 (747 d) |
| John David Vogelzang | Charles Schwab & Co., Inc. national BD | Smallwood Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 20, 2022 | Aug 10, 2022 (112 d) |
| Alan Edward Concha | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Smallwood Wealth Management independent RIA | Wirehouse to independent RIA | Aug 6, 2021 | Sep 9, 2022 (399 d) |
| Christine A Flynn | Rjl Financial Group unclassified | Smallwood Wealth Management independent RIA | Other | Jan 7, 2019 | Jan 7, 2026 (2557 d) |
| Edward Edgar Bao | Vestgen Investment Management other | Smallwood Wealth Management no RAUM | Other | Aug 25, 2017 | Jul 7, 2017 |
| John Lewis Smallwood | Vestgen Investment Management other | Smallwood Wealth Management no RAUM | Other | Aug 25, 2017 | Jul 7, 2017 |
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6 moves match.