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 Breakwater Capital Group
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 |
|---|---|---|---|---|---|
| Thomas Jeremiah Mullen | Fidelity Personal And Workplace Advisors BD affiliated | Breakwater Capital Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2023 | Jul 14, 2023 (171 d) |
| Madeline Rose Barconi | Colorado Capital Management independent RIA | Breakwater Capital Group independent RIA | RIA to RIA | Nov 21, 2022 | Feb 7, 2023 (78 d) |
| Jeffrey Craig Hanson | Fidelity Personal And Workplace Advisors BD affiliated | Breakwater Capital Group no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 14, 2022 | Jul 12, 2022 |
Page 1 of 1
3 moves match.