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 Focused Alpha, 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 |
|---|---|---|---|---|---|
| Connor James Jackson | John Hancock Investment Management LLC asset manager | Focused Alpha, LLC independent RIA | Other | Nov 5, 2025 | Jan 13, 2026 (69 d) |
| Matthew Arthur Tarini | Nations Financial Group, Inc. independent RIA | Focused Alpha, LLC independent RIA | RIA to RIA | Oct 22, 2024 | Oct 30, 2024 |
| Ryan Davis Freberg | UBS Financial Services Inc. wirehouse | Focused Alpha, LLC independent RIA | Wirehouse to independent RIA | Apr 16, 2024 | May 6, 2024 |
| Joseph Demichele | UBS Financial Services Inc. wirehouse | Focused Alpha, LLC independent RIA | Wirehouse to independent RIA | Apr 16, 2024 | May 21, 2024 (35 d) |
| Robert William Straus | Schwab Wealth Advisory, Inc. no RAUM | Focused Alpha, LLC independent RIA | Other | Jan 15, 2024 | Jan 9, 2024 |
| Mary Kathleen Flaherty | Charles Schwab & Co., Inc. national BD | Focused Alpha, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 21, 2021 | Apr 25, 2022 (308 d) |
| Joshua Samuel Goldin | Raymond James & Associates, Inc. national BD | Focused Alpha, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 13, 2021 | Apr 12, 2021 |
| Kevin James Goldin | Morgan Stanley wirehouse | Focused Alpha, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 6, 2021 | Mar 22, 2021 |
| Daniel I Barotz | UBS Financial Services Inc. wirehouse | Focused Alpha, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 22, 2021 | Mar 12, 2021 (49 d) |
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9 moves match.