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 Modern Financial

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.

AdvisorFromToTypeLeftRegistered
William Austin HammerCambridge Investment Research Advisors, Inc. BD affiliatedModern Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserDec 8, 2023Dec 1, 2023
Shawn Allan WattsMutual Of Omaha Investor Services, Inc. independent RIAModern Financial state registeredRIA to a state-registered adviserFeb 2, 2023Jan 31, 2023
Shane Andrew SquibbSecurities America Advisors, Inc. BD affiliatedModern Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserJan 25, 2022Jan 19, 2022
Brent SabatiSecurities America Advisors, Inc. BD affiliatedModern Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 5, 2021Jan 3, 2022 (90 d)
Shari Rene CarlsonCambridge Investment Research Advisors, Inc. BD affiliatedModern Financial state registeredAffiliated broker-dealer or bank to a state-registered adviserOct 1, 2021Mar 2, 2022 (152 d)
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5 moves match.