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 Interocean Capital

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
Phillip Brian CookCambridge Investment Research Advisors, Inc. BD affiliatedInterocean Capital independent RIAAffiliated broker-dealer or bank to independent RIAOct 9, 2023Oct 2, 2023
Arthur Edward ZaskeArthur Zaske & Associates, LLC independent RIAInterocean Capital independent RIARIA to RIAJun 7, 2023Jun 7, 2023
David Alexander ZaskeArthur Zaske & Associates, LLC independent RIAInterocean Capital independent RIARIA to RIAJun 7, 2023Jun 7, 2023
Mackenzie CunninghamCaptrust institutionalInterocean Capital independent RIAOtherMar 23, 2023Apr 28, 2023 (36 d)
David VenegasCitigroup Global Markets Inc. BD affiliatedInterocean Capital independent RIAAffiliated broker-dealer or bank to independent RIAAug 10, 2022Aug 9, 2022
Michael Joshua CarlinHenry + Horne Wealth Management independent RIAInterocean Capital independent RIARIA to RIAJul 15, 2022Jul 12, 2022
Shaunna Marie ZoecklerHenry + Horne Wealth Management independent RIAInterocean Capital independent RIARIA to RIAJun 29, 2022Aug 1, 2022 (33 d)
Drake Arlon QuallsHenry + Horne Wealth Management independent RIAInterocean Capital independent RIARIA to RIAJun 29, 2022Jul 25, 2022
Andrea Lee DonaldsonLockton Investment Advisors, LLC institutionalInterocean Capital independent RIAOtherOct 20, 2020Nov 14, 2022 (755 d)
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9 moves match.