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 Strait & Sound

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.

AdvisorFromToTypeLeftRegistered
William J RomigJ.P. Morgan Securities LLC wirehouseStrait & Sound independent RIAWirehouse to independent RIANov 16, 2025Nov 18, 2025
Mitchell Harold FreedmanGenter Advisors LLC independent RIAStrait & Sound independent RIARIA to RIASep 1, 2023Jun 28, 2023
Daniel WuGps Capital Management, LLC independent RIAStrait & Sound independent RIARIA to RIADec 14, 2022May 3, 2022
Li Ping GuayGps Capital Management, LLC independent RIAStrait & Sound independent RIARIA to RIAAug 17, 2022May 3, 2022
Cory Brett BaerAlpha Cubed Investments, LLC independent RIAStrait & Sound independent RIARIA to RIAJan 15, 2021Jan 15, 2021
Todd Alan SixtMutual Advisors, LLC BD affiliatedStrait & Sound independent RIAAffiliated broker-dealer or bank to independent RIAOct 6, 2020Oct 6, 2020
Daniel Allen BarnesKarp Capital Management Corporation otherStrait & Sound no RAUMOtherMar 12, 2018Sep 1, 2020 (904 d)
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7 moves match.