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 Plan Financial
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 |
|---|---|---|---|---|---|
| Isaac Ellsworth Halls | Ameriprise Financial Services, LLC national BD | Plan Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2013 | Jan 1, 2025 (4114 d) |
| Joe Michael Chin | Beechwood Wealth Advisors, LLC unclassified | Plan Financial independent RIA | Other | Dec 31, 2012 | Sep 18, 2025 (4644 d) |
| Robert Leon Rockwell | Beechwood Advisory Group, LLC unclassified | Plan Financial other | Other | Dec 11, 2007 | Jun 4, 2007 |
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3 moves match.