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 Swan Capital
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 |
|---|---|---|---|---|---|
| William Moy | Edward Jones national BD | Swan Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | May 28, 2025 | Jun 18, 2025 |
| Jamie Lee Via | First Command Advisory Services BD affiliated | Swan Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 22, 2024 | Mar 20, 2025 (241 d) |
| Michael John Mealy | Charles Schwab & Co., Inc. national BD | Swan Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2024 | Apr 1, 2024 (84 d) |
| Andrew Scott Mcnair | Ae Wealth Management, LLC independent RIA | Swan Capital independent RIA | RIA to RIA | Oct 14, 2020 | Dec 6, 2019 |
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4 moves match.