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 Defined Financial Planning 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 |
|---|---|---|---|---|---|
| Brianna Nicole Hasbrook | Allworth Financial, L.P. BD affiliated | Defined Financial Planning LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2022 | Aug 19, 2022 |
| Keith Merwin Oslie | J. W. Cole Advisors, Inc. independent RIA | Defined Financial Planning LLC independent RIA | RIA to RIA | Oct 6, 2020 | Sep 30, 2020 |
| Samuel Vasquez Gaeta | J. W. Cole Advisors, Inc. independent RIA | Defined Financial Planning LLC independent RIA | RIA to RIA | Sep 29, 2020 | Sep 30, 2020 |
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3 moves match.