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 Ocean Financial Advisors 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 |
|---|---|---|---|---|---|
| Providencia Mordan | Citigroup Global Markets Inc. BD affiliated | Ocean Financial Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 8, 2025 | May 14, 2025 |
| Jessica Kaufman | MML Investors Services, LLC BD affiliated | Ocean Financial Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 29, 2024 | Mar 22, 2024 (53 d) |
| Carlos Jose Pena Velazco | Bolton Global Asset Management mixed wealth | Ocean Financial Advisors LLC state registered | RIA to a state-registered adviser | May 11, 2023 | Jun 7, 2024 (393 d) |
| Robert Layton | Sunstate Wealth Management LLC other | Ocean Financial Advisors LLC state registered | Other | Nov 16, 2022 | Jul 31, 2023 (257 d) |
| Henry De Valle | Efg Capital Advisors Inc. independent RIA | Ocean Financial Advisors LLC state registered | RIA to a state-registered adviser | Apr 20, 2018 | Jul 23, 2019 (459 d) |
| Maria Luisa De Jesus | Efg Capital Advisors Inc. independent RIA | Ocean Financial Advisors LLC state registered | RIA to a state-registered adviser | Apr 20, 2018 | Jun 21, 2019 (427 d) |
| Alexandra Rumie | Efg Capital Advisors Inc. independent RIA | Ocean Financial Advisors LLC state registered | RIA to a state-registered adviser | Apr 20, 2018 | Jan 1, 2025 (2448 d) |
| Manuel M Del Canal | LPL Financial LLC other | Ocean Financial Advisors LLC state registered | Other | Aug 20, 2013 | Jan 1, 2025 (4152 d) |
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8 moves match.