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 Aegis 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.

AdvisorFromToTypeLeftRegistered
Amanda Marie RossWoodbury Financial Services, Inc. BD affiliatedAegis Financial independent RIAAffiliated broker-dealer or bank to independent RIAOct 22, 2021Nov 30, 2021 (39 d)
Mark Michael OswaldAnnex Wealth Management, LLC independent RIAAegis Financial independent RIARIA to RIAOct 15, 2020Mar 25, 2021 (161 d)
Kevin Craig WilsonRaymond James Financial Services Advisors, Inc BD affiliatedAegis Financial independent RIAAffiliated broker-dealer or bank to independent RIAJan 8, 2020Feb 4, 2020
William Lee BowmanRaymond James Financial Services Advisors, Inc BD affiliatedAegis Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 4, 2019Aug 23, 2019
Michael Patrick DonnanRaymond James Financial Services Advisors, Inc BD affiliatedAegis Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 4, 2019Aug 22, 2019
Brian James RogersRaymond James Financial Services Advisors, Inc BD affiliatedAegis Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 4, 2019Aug 22, 2019
Brent Joseph RobinsonThrivent Investment Management Inc. BD affiliatedAegis Financial no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 11, 2019Sep 9, 2019
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7 moves match.