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 Simplified 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Mark Douglas Creel | LPL Financial LLC BD affiliated | Simplified Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 10, 2021 | Oct 30, 2025 (1420 d) |
| James Ray Carpenter | LPL Financial LLC BD affiliated | Simplified Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2020 | Jan 1, 2025 (1573 d) |
| Kevin Andrew Mccormick | LPL Financial LLC independent RIA | Simplified Wealth Management independent RIA | RIA to RIA | Aug 1, 2018 | Aug 2, 2018 |
| Thomas Andrew Ricks | LPL Financial LLC independent RIA | Simplified Wealth Management independent RIA | RIA to RIA | Jul 27, 2018 | Jul 30, 2018 |
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4 moves match.