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 Prosperity Planning
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 |
|---|---|---|---|---|---|
| Lucinda Lynn Richey | Cetera Advisors LLC BD affiliated | Prosperity Planning no RAUM | Other | Jan 6, 2020 | Sep 6, 2018 |
| Kenneth Austin Borum | Cetera Advisors LLC BD affiliated | Prosperity Planning no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2018 | Sep 10, 2018 |
| Ryan Kent Noble | Cetera Advisors LLC BD affiliated | Prosperity Planning no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2018 | Sep 6, 2018 |
| Rachael Michelle Graf | Cetera Advisors LLC BD affiliated | Prosperity Planning no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2018 | Sep 6, 2018 |
| Daniel Scott Reiter | Creative Planning independent RIA | Prosperity Planning no RAUM | RIA to a newly registered adviser | Jul 30, 2018 | Sep 6, 2018 (38 d) |
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5 moves match.