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 Parkview Asset Management, 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 |
|---|---|---|---|---|---|
| Bobbie Helman | Pruco Securities, LLC BD affiliated | Parkview Asset Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2023 | Feb 6, 2024 (91 d) |
| Thomas J Carroll | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Parkview Asset Management, Inc. independent RIA | Wirehouse to independent RIA | Nov 22, 2022 | Dec 13, 2022 |
| Michael Todd Jankowski | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Parkview Asset Management, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 23, 2020 | Jun 26, 2020 |
| Shaun Robert Williams | Charles Schwab & Co., Inc. national BD | Parkview Asset Management, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 18, 2018 | Jun 23, 2020 (644 d) |
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4 moves match.