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 Southeast Investments, N.C., 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
Roman Carid RaiesEquitable Advisors, LLC national BDSoutheast Investments, N.C., Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserMar 3, 2026May 7, 2026 (65 d)
John Thomas TurnerJohn Turner Senior Advisors, LLC unclassifiedSoutheast Investments, N.C., Inc. state registeredOtherApr 9, 2015Jan 24, 2012
Spencer Odom HawkinsNationwide Securities, LLC no RAUMSoutheast Investments, N.C., Inc. state registeredOtherFeb 18, 2014Feb 1, 2016 (713 d)
Craig Arnold SorensonAusdal Financial Partners, Inc. otherSoutheast Investments, N.C., Inc. state registeredOtherDec 31, 2012Mar 6, 2013 (65 d)
Rajeev S PanditKovack Advisors, Inc. otherSoutheast Investments, N.C., Inc. state registeredOtherDec 31, 2012Mar 26, 2013 (85 d)
David A FlynnKovack Advisors, Inc. otherSoutheast Investments, N.C., Inc. state registeredOtherDec 31, 2012Jan 10, 2013
Kevin Earl SkaltsisMsi Financial Services, Inc. otherSoutheast Investments, N.C., Inc. state registeredOtherMar 15, 2012Mar 27, 2012
Rodney L. WatkinsConcert Wealth Management otherSoutheast Investments, N.C., Inc. state registeredOtherFeb 27, 2012Oct 21, 2013 (602 d)
John David RoegnerColton Groome Financial Advisors, LLC independent RIASoutheast Investments, N.C., Inc. state registeredRIA to a state-registered adviserMay 23, 2011May 17, 2013 (725 d)
Richard Neil YountsOsaic Fs, Inc. otherSoutheast Investments, N.C., Inc. state registeredOtherApr 20, 2011Aug 9, 2012 (477 d)
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10 moves match.