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 Legacy Wealth Planning, 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 |
|---|---|---|---|---|---|
| Steven Edward Rose | LPL Financial LLC BD affiliated | Legacy Wealth Planning, LLC no RAUM | Other | Oct 29, 2021 | Oct 2, 2017 |
| Wendy Ann Hammond | Wells Fargo Advisors wirehouse | Legacy Wealth Planning, LLC independent RIA | Wirehouse to independent RIA | Sep 23, 2020 | Oct 20, 2020 |
| Jon Bruce Park | First Financial Equity Corporation other | Legacy Wealth Planning, LLC no RAUM | Other | Nov 6, 2017 | Nov 7, 2017 |
| Mason Bodie Monroe | Wells Fargo Advisors wirehouse | Legacy Wealth Planning, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jul 1, 2014 | Oct 2, 2017 (1189 d) |
| Mark Levy | RBC Capital Markets, LLC national BD | Legacy Wealth Planning, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 23, 2006 | Oct 2, 2017 (4211 d) |
| Phillip Stephen Mahoney | RBC Capital Markets, LLC national BD | Legacy Wealth Planning, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 23, 2006 | Oct 2, 2017 (4211 d) |
| Martin Major Mcclellan | RBC Capital Markets, LLC national BD | Legacy Wealth Planning, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 23, 2006 | Oct 2, 2017 (4211 d) |
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7 moves match.