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 Epiq Capital Group, 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 |
|---|---|---|---|---|---|
| Maxwell Bottene | RBC Capital Markets, LLC national BD | Epiq Capital Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 6, 2023 | Aug 24, 2023 |
| Austin D Chau | LPL Financial LLC BD affiliated | Epiq Capital Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2023 | Apr 21, 2023 |
| Drew Bradley Norman | UBS Financial Services Inc. wirehouse | Epiq Capital Group, LLC independent RIA | Wirehouse to independent RIA | Jun 27, 2022 | Jul 15, 2022 |
| Deborah Leeann Cornes | Fidelity Personal And Workplace Advisors BD affiliated | Epiq Capital Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2022 | Aug 9, 2023 (518 d) |
| Melanie Rachel Rahilly | Cornerstone independent RIA | Epiq Capital Group, LLC independent RIA | RIA to RIA | Sep 16, 2020 | Oct 12, 2020 |
| Rick S Withers | Iconiq Capital, LLC mixed wealth | Epiq Capital Group, LLC independent RIA | RIA to RIA | Jul 27, 2018 | Jul 6, 2020 (710 d) |
| Mark Alan Poelma | Strategic Advisers LLC national BD | Epiq Capital Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 25, 2018 | Feb 20, 2019 (271 d) |
| Peter John Zanino | Iconiq Capital, LLC mixed wealth | Epiq Capital Group, LLC no RAUM | RIA to a newly registered adviser | May 3, 2018 | May 11, 2018 |
| Henry Addison Woodruff | Iconiq Capital, LLC mixed wealth | Epiq Capital Group, LLC no RAUM | RIA to a newly registered adviser | May 2, 2018 | May 17, 2018 |
| Avereigh Layne Clarke | Iconiq Capital, LLC mixed wealth | Epiq Capital Group, LLC independent RIA | RIA to RIA | May 2, 2018 | Dec 20, 2018 (232 d) |
| William Patrick Dugan | Iconiq Capital, LLC mixed wealth | Epiq Capital Group, LLC no RAUM | RIA to a newly registered adviser | May 2, 2018 | May 11, 2018 |
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11 moves match.