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 1st Discount Brokerage, 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.

AdvisorFromToTypeLeftRegistered
Ned Joseph PascucciUBS Financial Services Inc. wirehouse1st Discount Brokerage, Inc. otherOtherMar 24, 2020Jun 25, 2020 (93 d)
Edward Francis WrightLPL Financial LLC other1st Discount Brokerage, Inc. otherOtherJul 7, 2009Jul 20, 2009
Alec Edward HokeSaxony Capital Management, LLC other1st Discount Brokerage, Inc. otherOtherFeb 20, 2009Jan 11, 2011 (690 d)
Jenny Alice DuncanDavenport & Company LLC other1st Discount Brokerage, Inc. otherOtherNov 16, 2007Dec 6, 2007
Amanda Lea ArthurUnited Securities Alliance, Inc. unclassified1st Discount Brokerage, Inc. otherOtherDec 31, 2005Oct 2, 2007 (640 d)
Duane William SunbyMsi Financial Services, Inc. other1st Discount Brokerage, Inc. otherOtherJul 13, 2005Feb 12, 2015 (3501 d)
Jeffrey Douglas ThomasMML Investors Services, LLC other1st Discount Brokerage, Inc. otherOtherMay 14, 2004May 6, 2004
David Carl SaboAmeriprise Financial Services, LLC national BD1st Discount Brokerage, Inc. otherOtherOct 31, 2003Oct 4, 2007 (1434 d)
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8 moves match.