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 Richmark Private 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.

AdvisorFromToTypeLeftRegistered
Ronald Kent HallerUSA Financial Securities LLC independent RIARichmark Private Wealth Management state registeredRIA to a state-registered adviserFeb 1, 2024Feb 14, 2024
Kevin Joseph SimsCaptrust institutionalRichmark Private Wealth Management state registeredOtherJan 3, 2019Jan 4, 2019
Bradley Scott MontgomeryBfc Planning, Inc. BD affiliatedRichmark Private Wealth Management state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 28, 2018Jul 3, 2018
Mark Alan VanvoorheesBerthel Fisher & Company Financial Services, Inc. BD affiliatedRichmark Private Wealth Management state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 22, 2018Jun 22, 2018
Richard Robert MarotzkeBerthel Fisher & Company Financial Services, Inc. BD affiliatedRichmark Private Wealth Management state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 22, 2018Dec 8, 2022 (1630 d)
Suellen Carol EstesBfc Planning, Inc. BD affiliatedRichmark Private Wealth Management state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 8, 2018Jul 3, 2018
Page 1 of 1
6 moves match.