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 Lumiere 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Christopher Riofrio | J.P. Morgan Securities LLC wirehouse | Lumiere Financial independent RIA | Wirehouse to independent RIA | May 23, 2025 | May 7, 2025 |
| Joseph J Milici | Equitable Advisors, LLC national BD | Lumiere Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 21, 2022 | Jul 22, 2022 |
| Derek Lawrence Botwinick | Pruco Securities, LLC BD affiliated | Lumiere Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 27, 2022 | Jun 24, 2022 |
| Tzvetelina Gueorguieva Botchoukova | Ameritas Advisory Services, LLC BD affiliated | Lumiere Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 9, 2022 | May 5, 2022 |
| Zachary Wyatt Brody | Ameritas Advisory Services, LLC BD affiliated | Lumiere Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 20, 2022 | May 6, 2022 |
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5 moves match.