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 Prism Financial Strategies, 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 |
|---|---|---|---|---|---|
| Robert S Single | Edward Jones national BD | Prism Financial Strategies, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2020 | Dec 1, 2020 (60 d) |
| Peter Eliot Gaide | Cornerstone Capital Advisors, Inc. other | Prism Financial Strategies, LLC mixed wealth | Other | Jul 8, 2020 | Jun 30, 2020 |
| Thomas Amedio Gonnella | Advisory Consulting Group LLC institutional | Prism Financial Strategies, LLC independent RIA | Other | Apr 1, 2019 | Feb 26, 2020 (331 d) |
| Ryan R Wells | Advisory Consulting Group LLC other | Prism Financial Strategies, LLC independent RIA | Other | Feb 7, 2018 | Mar 13, 2020 (765 d) |
| Shelly Lynne Schell | Bancwest Investment Services, Inc. (Bwis) other | Prism Financial Strategies, LLC no RAUM | Other | Oct 20, 2017 | Sep 22, 2017 |
| Amy Lynne Shroff | Bancwest Investment Services, Inc. (Bwis) other | Prism Financial Strategies, LLC no RAUM | Other | Oct 20, 2017 | Sep 22, 2017 |
| Jeffrey Gene Engelman | Vision Investment Advisors, LLC other | Prism Financial Strategies, LLC no RAUM | Other | Aug 24, 2017 | Aug 23, 2017 |
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7 moves match.