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 Nautical Star Financial Group 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 |
|---|---|---|---|---|---|
| Robert Mckay | Bfc Planning, Inc. BD affiliated | Nautical Star Financial Group LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 3, 2025 | Dec 5, 2025 |
| Susan D Marshall | Arete Wealth Advisors, LLC BD affiliated | Nautical Star Financial Group LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 27, 2024 | Apr 9, 2024 |
| Ralph Edward Smith | Smith Capital Management unclassified | Nautical Star Financial Group LLC state registered | Other | Dec 31, 2023 | Jan 2, 2024 |
| Lance Eric Peters | Spotlight Asset Group independent RIA | Nautical Star Financial Group LLC state registered | RIA to a state-registered adviser | Aug 12, 2021 | Nov 19, 2021 (99 d) |
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4 moves match.