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 Planners Inc.
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 |
|---|---|---|---|---|---|
| Benjamin J. Sartin | Park Avenue Securities LLC BD affiliated | The Planners Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 18, 2026 | Aug 26, 2026 |
| Erik Marcus Sartin | Park Avenue Securities LLC BD affiliated | The Planners Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 17, 2023 | Aug 18, 2023 |
| Maria Beth Shanley | Palisade Investments, LLC mixed wealth | The Planners Inc. state registered | RIA to a state-registered adviser | Jul 20, 2021 | Jul 25, 2023 (735 d) |
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3 moves match.