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 Mainstreet Ria 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 |
|---|---|---|---|---|---|
| Nicholas S Oldham | Northwestern Mutual Investment Services,LLC no RAUM | Mainstreet Ria LLC other | Other | Feb 26, 2021 | Mar 3, 2021 |
| Kerry Andrew Lang | Planmember Securities Corporation independent RIA | Mainstreet Ria LLC other | Other | Nov 25, 2020 | Feb 11, 2021 (78 d) |
| Robert Steven Oldham | Capital Management Services, Inc. independent RIA | Mainstreet Ria LLC other | Other | Oct 21, 2020 | Jul 6, 2020 |
| Richard Lee Counts | Valic Financial Advisors, Inc. BD affiliated | Mainstreet Ria LLC other | Other | Sep 23, 2020 | Aug 24, 2020 |
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4 moves match.