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 Bmo Direct Invest Inc.
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 |
|---|---|---|---|---|---|
| Michele Denise Hopson | LPL Financial LLC BD affiliated | Bmo Direct Invest Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2023 | Sep 1, 2023 |
| Luis Enrique Teran Rivero | River Street Advisors, LLC independent RIA | Bmo Direct Invest Inc. no RAUM | RIA to a newly registered adviser | Nov 9, 2021 | Jan 21, 2022 (73 d) |
| Peyton Ross Eckert | UBS Financial Services Inc. wirehouse | Bmo Direct Invest Inc. no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 1, 2019 | Jan 20, 2022 (811 d) |
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3 moves match.