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 Theory 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 |
|---|---|---|---|---|---|
| Robert Allan Helgeland | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 3, 2020 |
| Thomas G Braun | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 3, 2020 |
| Charles Leland Nedele | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 15, 2021 (63 d) |
| Ryan Charles Stout | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2019 | Jun 17, 2019 (76 d) |
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4 moves match.