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 Pallas Capital Advisors, 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 |
|---|---|---|---|---|---|
| Emily L. Richard | J.P. Morgan Securities LLC wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Jul 12, 2026 | Sep 9, 2026 (59 d) |
| Andrew Paul Krout | De Groote Financial Group, LLC independent RIA | Pallas Capital Advisors, LLC independent RIA | RIA to RIA | Sep 27, 2023 | Sep 25, 2023 |
| Michael Joseph Mccarthy | Mayflower Advisors independent RIA | Pallas Capital Advisors, LLC independent RIA | RIA to RIA | Jun 30, 2023 | Jun 26, 2023 |
| Damien Thomas Depeter | Mayflower Advisors independent RIA | Pallas Capital Advisors, LLC independent RIA | RIA to RIA | Jun 30, 2023 | Jun 26, 2023 |
| Garret Mark Quillen | United Planners' Financial Services Of America A Limited Partner independent RIA | Pallas Capital Advisors, LLC independent RIA | RIA to RIA | Apr 5, 2023 | Mar 8, 2023 |
| Adam Alexander Avila | Pruco Securities, LLC BD affiliated | Pallas Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2022 | Jun 10, 2022 |
| Michael Stephen Vazza | Fidelity Personal And Workplace Advisors BD affiliated | Pallas Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2022 | Sep 24, 2024 (908 d) |
| Robert J Dipadua | Osaic Fa, Inc. BD affiliated | Pallas Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2021 | Jun 29, 2022 (208 d) |
| Carolann Doherty Brown | UBS Financial Services Inc. wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Sep 21, 2021 | Sep 2, 2021 |
| Kristen Lee Nunes | Pruco Securities, LLC BD affiliated | Pallas Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2021 | Oct 21, 2021 (63 d) |
| Athol David Cochrane | Pruco Securities, LLC BD affiliated | Pallas Capital Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2021 | Jul 22, 2021 |
| Eric James Lalime | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Jun 22, 2021 | Jun 21, 2021 |
| Shannon Nicole Smith | UBS Financial Services Inc. wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | Jun 1, 2021 | May 25, 2021 |
| Joseph Arthur Cullen | UBS Financial Services Inc. wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | May 25, 2021 | May 14, 2021 |
| Ali Danielle Laflamme | UBS Financial Services Inc. wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | May 25, 2021 | May 14, 2021 |
| Ryner Lee Gorowsky | UBS Financial Services Inc. wirehouse | Pallas Capital Advisors, LLC independent RIA | Wirehouse to independent RIA | May 25, 2021 | May 14, 2021 |
| Christopher Bradley Ayer | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 8, 2020 | Nov 18, 2020 |
| Mark Allan Bogar | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 18, 2020 |
| Charles Costa Evangelakos | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 16, 2020 |
| Richard Sholes Mullen | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 16, 2020 |
| James Christopher Landry | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 16, 2020 |
| Gregory Edward Boyle | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 18, 2020 |
| John Bay | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 18, 2020 |
| John Peter Routhier | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 18, 2020 |
| Jack Andrew Mccroken | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 18, 2020 |
| Camden Link Newton | Newedge Advisors independent RIA | Pallas Capital Advisors, LLC no RAUM | RIA to a newly registered adviser | Dec 1, 2020 | Nov 18, 2020 |
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26 moves match.