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 The Holland Group, Retirement Wealth 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 |
|---|---|---|---|---|---|
| Joseph Paul Penhallow | Morgan Stanley wirehouse | The Holland Group, Retirement Wealth Advisors, LLC independent RIA | Wirehouse to independent RIA | Mar 3, 2025 | May 8, 2025 (66 d) |
| Steven Lloyd Holland | Mutual Trust Asset Mgmt., Inc. independent RIA | The Holland Group, Retirement Wealth Advisors, LLC independent RIA | RIA to RIA | May 14, 2024 | Apr 2, 2025 (323 d) |
| Allen Leroy Claggett | Mutual Trust Asset Mgmt., Inc. independent RIA | The Holland Group, Retirement Wealth Advisors, LLC independent RIA | RIA to RIA | May 14, 2024 | Jan 1, 2026 (597 d) |
| Paul James Dipalma | Mutual Trust Asset Mgmt., Inc. independent RIA | The Holland Group, Retirement Wealth Advisors, LLC no RAUM | RIA to a newly registered adviser | May 14, 2024 | Jan 11, 2024 |
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4 moves match.