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 Sargent Investment Group

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.

AdvisorFromToTypeLeftRegistered
Zachary HubbardGreenspring Advisors, LLC mixed wealthSargent Investment Group independent RIARIA to RIAFeb 28, 2025Mar 5, 2025
Laura E HodgsonMorgan Stanley wirehouseSargent Investment Group independent RIAWirehouse to independent RIAJul 7, 2023Jun 3, 2024 (332 d)
Matthew John ElmoreAmeriprise Financial Services, LLC national BDSargent Investment Group independent RIAAffiliated broker-dealer or bank to independent RIASep 14, 2022Jul 29, 2024 (684 d)
Christopher Neel RhyneReinhart Partners, LLC mixed wealthSargent Investment Group independent RIARIA to RIAJan 3, 2022Jan 10, 2022
Timothy PangMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSargent Investment Group independent RIAWirehouse to independent RIAApr 1, 2021Sep 1, 2021 (153 d)
Edward Marshall GieseUnited Capital Financial Advisors BD affiliatedSargent Investment Group independent RIAAffiliated broker-dealer or bank to independent RIASep 18, 2020Sep 9, 2020
Susette GustiniSkg Group, LLC unclassifiedSargent Investment Group independent RIAOtherDec 31, 2018Feb 11, 2019 (42 d)
Suzanne Anita SmallWells Fargo Advisors wirehouseSargent Investment Group independent RIAWirehouse to independent RIAAug 9, 2018Aug 3, 2018
Ricardo Martin RosenbergWells Fargo Advisors wirehouseSargent Investment Group independent RIAWirehouse to independent RIAAug 9, 2018Aug 27, 2018
Samuel Ferguson BeachWells Fargo Advisors wirehouseSargent Investment Group independent RIAWirehouse to independent RIAAug 7, 2018Aug 14, 2018
Christopher Smith SargentWells Fargo Advisors wirehouseSargent Investment Group independent RIAWirehouse to independent RIAAug 7, 2018Aug 3, 2018
Brian Douglas McgregorWells Fargo Advisors wirehouseSargent Investment Group independent RIAWirehouse to independent RIAAug 7, 2018Aug 24, 2018
Thomas Rory HealyWells Fargo Advisors wirehouseSargent Investment Group independent RIAWirehouse to independent RIAAug 7, 2018Sep 10, 2021 (1130 d)
David T SeamansCharleston Capital Management, LLC unclassifiedSargent Investment Group independent RIAOtherAug 14, 2017Jun 10, 2024 (2492 d)
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14 moves match.