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 Keebeck 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 |
|---|---|---|---|---|---|
| Donna D Shin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Keebeck Wealth Management independent RIA | Wirehouse to independent RIA | Jan 10, 2023 | May 8, 2023 (118 d) |
| William Seyfarth | Goldman Sachs Wealth Services, L.P. BD affiliated | Keebeck Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2021 | Feb 7, 2022 (54 d) |
| Charles Douglas Robinson | Cornerstone Wealth independent RIA | Keebeck Wealth Management independent RIA | RIA to RIA | Aug 17, 2020 | Aug 17, 2020 |
| Steve C Vujevich | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Keebeck Wealth Management independent RIA | Wirehouse to independent RIA | Jul 15, 2020 | Jun 17, 2020 |
| Matthew P Anderson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Keebeck Wealth Management independent RIA | Wirehouse to independent RIA | Jul 15, 2020 | Jun 17, 2020 |
| Timothy John Lynch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Keebeck Wealth Management independent RIA | Wirehouse to independent RIA | Jan 29, 2019 | Feb 1, 2019 |
| Christopher John Duff | Equitable Advisors, LLC national BD | Keebeck Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2018 | Nov 5, 2018 (91 d) |
| Joseph Byron Polakoff | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Keebeck Wealth Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jul 12, 2018 | Jul 10, 2018 |
| Bruce Keebeck Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Keebeck Wealth Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 8, 2018 | Jul 9, 2018 (62 d) |
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9 moves match.