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 Von Borstel & Associates
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 |
|---|---|---|---|---|---|
| Wayne Von Borstel | Financial Advocates Investment Management independent RIA | Von Borstel & Associates no RAUM | RIA to a newly registered adviser | Aug 31, 2020 | Aug 4, 2020 |
| Craig Ryan Smith | Financial Advocates Investment Management independent RIA | Von Borstel & Associates no RAUM | RIA to a newly registered adviser | Aug 19, 2020 | Aug 18, 2020 |
| Sandra Aguirre Piza | LPL Financial LLC other | Von Borstel & Associates independent RIA | Other | Apr 21, 2016 | Aug 30, 2023 (2687 d) |
Page 1 of 1
3 moves match.