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 Life Balance Financial
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 |
|---|---|---|---|---|---|
| Joe Riley Allen | Park Avenue Securities LLC BD affiliated | Life Balance Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 7, 2018 | Nov 8, 2018 |
| James Arthur Hecker | Park Avenue Securities LLC BD affiliated | Life Balance Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 7, 2018 | Nov 8, 2018 |
| Christina Marie Osborne | Baron Financial Advisors, LLC state registered | Life Balance Financial state registered | Other | Apr 12, 2018 | Feb 20, 2018 |
| Gary Don Penick | Edward Jones national BD | Life Balance Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 3, 2017 | Aug 22, 2019 (841 d) |
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4 moves match.