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 Prospect Financial Services 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 |
|---|---|---|---|---|---|
| Theodore Joseph Haggerty | Catalyst Wealth Management LLC independent RIA | Prospect Financial Services LLC independent RIA | RIA to RIA | Nov 21, 2024 | Jul 3, 2025 (224 d) |
| Neal D O Sullivan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Prospect Financial Services LLC independent RIA | Wirehouse to independent RIA | Aug 16, 2024 | Aug 16, 2024 |
| David Frank Gerken | The Pinnacle Financial Group independent RIA | Prospect Financial Services LLC no RAUM | RIA to a newly registered adviser | Dec 31, 2021 | Dec 21, 2021 |
| Michael Allan Goldfeder | The Pinnacle Financial Group independent RIA | Prospect Financial Services LLC no RAUM | RIA to a newly registered adviser | Dec 31, 2021 | Dec 21, 2021 |
| Sean Peter Rooney | The Pinnacle Financial Group independent RIA | Prospect Financial Services LLC no RAUM | RIA to a newly registered adviser | Dec 31, 2021 | Dec 21, 2021 |
| Luciano Santino Marciano | The Pinnacle Financial Group independent RIA | Prospect Financial Services LLC no RAUM | RIA to a newly registered adviser | Dec 31, 2021 | Dec 22, 2021 |
| Lee Edward Kilbrith | The Pinnacle Financial Group independent RIA | Prospect Financial Services LLC independent RIA | RIA to RIA | Dec 31, 2021 | Jan 6, 2023 (371 d) |
| Jay L Nathan | The Pinnacle Financial Group independent RIA | Prospect Financial Services LLC no RAUM | RIA to a newly registered adviser | Dec 31, 2021 | Dec 21, 2021 |
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8 moves match.