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 Compound Advisers, Inc.
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 |
|---|---|---|---|---|---|
| Craig Leon Blackwell | Fidelity Institutional Wealth Adviser LLC mixed wealth | Compound Advisers, Inc. independent RIA | RIA to RIA | Apr 26, 2023 | May 18, 2023 |
| Raul Rodriguez | Capital Advisors, Inc. independent RIA | Compound Advisers, Inc. independent RIA | RIA to RIA | Feb 16, 2023 | Mar 28, 2023 (40 d) |
| Marco Gino Miranda | Alliancebernstein L.P. asset manager | Compound Advisers, Inc. independent RIA | Other | Dec 12, 2022 | Feb 17, 2023 (67 d) |
| Mark A Cecchini | Range Advisory, LLC no RAUM | Compound Advisers, Inc. independent RIA | Other | Sep 26, 2022 | Dec 13, 2022 (78 d) |
| Eric Michael Sassano | The Caprock Group, LLC independent RIA | Compound Advisers, Inc. independent RIA | RIA to RIA | May 20, 2022 | Jun 15, 2022 |
| Kevin Umesh Shah | Provence Wealth Management Group independent RIA | Compound Advisers, Inc. independent RIA | RIA to RIA | Sep 30, 2021 | Dec 17, 2021 (78 d) |
| Steven Gabriel Walraven | MML Investors Services, LLC BD affiliated | Compound Advisers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 18, 2021 | Aug 10, 2021 (53 d) |
| Christine Le Raimond | Kayne Anderson Rudnick Investment Management, LLC other | Compound Advisers, Inc. independent RIA | Other | Jun 16, 2021 | Mar 14, 2023 (636 d) |
| Ryan Klemm | Yeske Buie Inc. independent RIA | Compound Advisers, Inc. independent RIA | RIA to RIA | Mar 29, 2021 | Apr 8, 2021 |
| Gabriel E Garcia | Morgan Stanley wirehouse | Compound Advisers, Inc. independent RIA | Wirehouse to independent RIA | Mar 19, 2021 | Apr 8, 2021 |
| Tara G Shulman | Janney Montgomery Scott LLC BD affiliated | Compound Advisers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 20, 2021 | Jan 29, 2021 |
| Nicholas Giovanni Garcia | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Compound Advisers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2020 | Oct 13, 2020 |
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12 moves match.