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 An Exceptional Life Financial, 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 |
|---|---|---|---|---|---|
| Sarah Ann Sepulveda | The H Group, Inc. independent RIA | An Exceptional Life Financial, LLC independent RIA | RIA to RIA | Oct 27, 2023 | Oct 30, 2023 |
| David Ryan Gourley | Gwn Securities Inc. BD affiliated | An Exceptional Life Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 12, 2022 | May 13, 2022 |
| Charles Ricky Skinner | Watermark Wealth Management, LLC independent RIA | An Exceptional Life Financial, LLC independent RIA | RIA to RIA | Dec 31, 2021 | Nov 14, 2021 |
| James Serrano | Charles Schwab & Co., Inc. national BD | An Exceptional Life Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 7, 2020 | Sep 26, 2022 (658 d) |
| Mychal Vashon Eagleson | Forvis Mazars Wealth Advisors, LLC other | An Exceptional Life Financial, LLC independent RIA | Other | Jun 16, 2017 | Jun 28, 2017 |
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5 moves match.