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 Northern Capital Securities Corporation
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 |
|---|---|---|---|---|---|
| James Albert Tietze | Advisors Asset Management, Inc. mixed wealth | Northern Capital Securities Corporation state registered | RIA to a state-registered adviser | Mar 3, 2026 | Mar 16, 2026 |
| Robert Edward Pickett | Cambridge Investment Research Advisors, Inc. BD affiliated | Northern Capital Securities Corporation state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 24, 2019 | Mar 23, 2020 (424 d) |
| William David Harwood | Cuso Financial Services, L.P. other | Northern Capital Securities Corporation state registered | Other | Dec 21, 2016 | Jul 21, 2020 (1308 d) |
| David Grant Oldaker | Northern Capital Advisors Corporation unclassified | Northern Capital Securities Corporation state registered | Other | Jun 6, 2005 | Feb 6, 2017 (4263 d) |
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4 moves match.