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 Polaris Wealth Management, 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 |
|---|---|---|---|---|---|
| Howard Mark Ramsamugh | Lion Street Advisors, LLC BD affiliated | Polaris Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 3, 2025 | Nov 3, 2021 |
| Felicia Lynn Gates | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Polaris Wealth Management, LLC state registered | Wirehouse to a state-registered adviser | Jul 10, 2023 | Jul 14, 2023 |
| Eric Dale Grant | Lion Street Advisors, LLC BD affiliated | Polaris Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 1, 2020 | Jun 24, 2020 |
| Isis Lashae Waites | Assetmark, Inc. BD affiliated | Polaris Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 10, 2020 | Jul 15, 2020 (35 d) |
| Thomas William O'Shaughnessy | Marcum Financial Services LLC unclassified | Polaris Wealth Management, LLC state registered | Other | Dec 17, 2019 | Aug 25, 2020 (252 d) |
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5 moves match.