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 Kapstone Financial Advisors 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 |
|---|---|---|---|---|---|
| David Robert Frazier | Kovack Advisors, Inc. BD affiliated | Kapstone Financial Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2026 | Feb 12, 2026 |
| Roy Elmer Mcguffin | B. Riley Wealth Advisors, Inc. BD affiliated | Kapstone Financial Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2022 | Mar 29, 2022 |
| Randall Jay Kronour | B. Riley Wealth Advisors, Inc. BD affiliated | Kapstone Financial Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2022 | Mar 28, 2022 |
| David Charles Kronour | B. Riley Wealth Advisors, Inc. BD affiliated | Kapstone Financial Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2022 | Mar 28, 2022 |
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4 moves match.