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 Spectrum Wealth Management
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 |
|---|---|---|---|---|---|
| Brian Lowell Short | Fidelity Personal And Workplace Advisors BD affiliated | Spectrum Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2023 | Mar 22, 2023 |
| Robert Cletus Phillips | Sbo Management, LLC. unclassified | Spectrum Wealth Management no RAUM | Other | Jan 24, 2023 | Jan 3, 2023 |
| Daniel D Meiklejohn | Forvis Mazars Wealth Advisors, LLC other | Spectrum Wealth Management independent RIA | Other | Dec 5, 2011 | Feb 28, 2024 (4468 d) |
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3 moves match.