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 Peak Financial Guidance LLC
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 |
|---|---|---|---|---|---|
| Douglas Lee Klein | Edward Jones national BD | Peak Financial Guidance LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 9, 2025 | Jun 17, 2025 |
| Anant S Mehta | MML Investors Services, LLC BD affiliated | Peak Financial Guidance LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 18, 2021 | Mar 17, 2021 |
| Adam James Horning | Northwestern Mutual Investment Services,LLC no RAUM | Peak Financial Guidance LLC state registered | Other | Dec 6, 2019 | Jan 9, 2020 (34 d) |
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3 moves match.