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 Financial Forum, 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 |
|---|---|---|---|---|---|
| Callie Catherine Johnson | LPL Financial LLC BD affiliated | Financial Forum, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 16, 2026 | Apr 21, 2026 |
| Landy Lynn Comstock | LPL Financial LLC BD affiliated | Financial Forum, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2020 | Aug 14, 2020 |
| Kathryn Marie Young | LPL Financial LLC BD affiliated | Financial Forum, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2020 | Nov 23, 2020 |
| Jeffrey Landon Comstock | LPL Financial LLC BD affiliated | Financial Forum, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2020 | May 1, 2020 |
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4 moves match.