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 Ais Asset Management
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 |
|---|---|---|---|---|---|
| Raul Guadalupe Barcenes | Fefa Financial no RAUM | Ais Asset Management state registered | Other | Aug 23, 2023 | Oct 13, 2023 (51 d) |
| Patrick Paragas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ais Asset Management state registered | Wirehouse to a state-registered adviser | Jun 5, 2023 | Jul 21, 2023 (46 d) |
| Samuel Shou Iue Hwang | RBC Securities, Inc. independent RIA | Ais Asset Management state registered | RIA to a state-registered adviser | Feb 2, 2021 | Feb 18, 2021 |
| Suzanne Marie Muniz | Comerica Securities other | Ais Asset Management state registered | Other | Jan 5, 2011 | Dec 4, 2022 (4351 d) |
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4 moves match.