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 Broadway Advisor 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 |
|---|---|---|---|---|---|
| John Francis Mendrysa | LPL Financial LLC BD affiliated | Broadway Advisor Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 9, 2025 | Feb 11, 2025 (33 d) |
| Tyler William Rapp | LPL Financial LLC independent RIA | Broadway Advisor Group no RAUM | RIA to a newly registered adviser | Mar 2, 2023 | Jan 19, 2023 |
| Jason Michael Sgroi | LPL Financial LLC independent RIA | Broadway Advisor Group no RAUM | RIA to a newly registered adviser | Feb 2, 2023 | Dec 22, 2022 |
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3 moves match.