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 Ndvr
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 |
|---|---|---|---|---|---|
| Heath Edward Hampton | LPL Financial LLC BD affiliated | Ndvr independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 | Jul 13, 2023 |
| Joshua Eric Cole | Fisher Investments independent RIA | Ndvr independent RIA | RIA to RIA | Feb 6, 2023 | Feb 28, 2023 |
| Jordan Meurrier Pedron | Personal Capital Advisors Corporation independent RIA | Ndvr independent RIA | RIA to RIA | Dec 16, 2022 | Jan 17, 2023 (32 d) |
| Braden Farley Osten | Alliancebernstein L.P. other | Ndvr independent RIA | Other | Jan 5, 2022 | Jan 11, 2022 |
| Eric Preston Scruggs | Shepherd Kaplan LLC asset manager | Ndvr no RAUM | Other | Aug 27, 2020 | Feb 8, 2021 (165 d) |
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5 moves match.