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 Carlson 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 |
|---|---|---|---|---|---|
| Shawn Martin Perkins | UBS Financial Services Inc. wirehouse | Carlson Financial independent RIA | Wirehouse to independent RIA | Aug 30, 2022 | Sep 1, 2022 |
| Audre Suzanne Robertson | Raymond James Financial Services Advisors, Inc BD affiliated | Carlson Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2022 | Sep 13, 2022 |
| Jacob Baugher | Ameriprise Financial Services, LLC national BD | Carlson Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2022 | Apr 20, 2022 |
| Paul Edward Staniszewski | Edelman Financial Engines mixed wealth | Carlson Financial independent RIA | RIA to RIA | Dec 10, 2021 | Mar 28, 2022 (108 d) |
| Winston Alan Meyer | Cornerstone Advisors independent RIA | Carlson Financial independent RIA | RIA to RIA | May 14, 2021 | Sep 21, 2021 (130 d) |
| Jacob Donald Williams | Charles Schwab & Co., Inc. national BD | Carlson Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2020 | Mar 24, 2022 (457 d) |
| Carl R Carlson | Global Financial Private Capital, Inc. independent RIA | Carlson Financial no RAUM | RIA to a newly registered adviser | May 6, 2019 | Oct 18, 2018 |
| Anna L Carlson | Global Financial Private Capital, Inc. independent RIA | Carlson Financial independent RIA | RIA to RIA | Apr 30, 2019 | Dec 5, 2018 |
| Marissa Kay Waldron | Global Financial Private Capital, Inc. independent RIA | Carlson Financial independent RIA | RIA to RIA | Apr 26, 2019 | Dec 4, 2018 |
| Daniel Eugene Moylan | Global Financial Private Capital, Inc. independent RIA | Carlson Financial no RAUM | RIA to a newly registered adviser | Apr 26, 2019 | Oct 17, 2018 |
| Scott Michael Rinehart | Global Financial Private Capital, Inc. independent RIA | Carlson Financial no RAUM | RIA to a newly registered adviser | Apr 26, 2019 | Oct 18, 2018 |
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11 moves match.