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 Cic Wealth, 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 |
|---|---|---|---|---|---|
| Desiree Fisher | Freeman Capital Advisors independent RIA | Cic Wealth, LLC independent RIA | RIA to RIA | Dec 31, 2022 | Mar 15, 2023 (74 d) |
| Carlos Emmanuel Salmon | Stratos Wealth Advisors LLC independent RIA | Cic Wealth, LLC independent RIA | RIA to RIA | Dec 16, 2021 | Jan 6, 2022 |
| Sherman Malcolm Ethridge | Wells Fargo Advisors wirehouse | Cic Wealth, LLC independent RIA | Wirehouse to independent RIA | May 14, 2019 | May 15, 2019 |
| James E Roberts | Commonwealth Financial Network national BD | Cic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2019 | Mar 18, 2019 |
| Daniel James Pessagno | Securian Financial Services, Inc. BD affiliated | Cic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 5, 2018 | Aug 16, 2018 (42 d) |
| Brian M Davis | Commonwealth Financial Network national BD | Cic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 26, 2017 | Aug 17, 2019 (599 d) |
| Frank Chris Cappadora | Commonwealth Financial Network national BD | Cic Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 14, 2017 | Nov 13, 2017 |
| Michael Brett Fein | Commonwealth Financial Network national BD | Cic Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 14, 2017 | Nov 13, 2017 |
| Richard Stuart Sebastian | Commonwealth Financial Network national BD | Cic Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 14, 2017 | Nov 13, 2017 |
| Ryan Bruce Wibberley | Commonwealth Financial Network national BD | Cic Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 13, 2017 | Nov 13, 2017 |
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10 moves match.