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 Thoroughbred Financial Services, LLC

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
Jessica Marie BarnesMeridian Wealth Management, LLC independent RIAThoroughbred Financial Services, LLC independent RIARIA to RIAMay 6, 2026Jun 10, 2026 (35 d)
Martha WalthallFlorida Financial Advisors, LLC BD affiliatedThoroughbred Financial Services, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMay 12, 2024May 22, 2024
Charlotte Coles White GoldstonUBS Financial Services Inc. wirehouseThoroughbred Financial Services, LLC independent RIAWirehouse to independent RIAFeb 13, 2024Feb 14, 2025 (367 d)
Michael G JackieFlorida Financial Advisors, LLC BD affiliatedThoroughbred Financial Services, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 25, 2023Oct 4, 2023 (40 d)
Daniel Shane CarninePrincipal Securities, Inc. BD affiliatedThoroughbred Financial Services, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 8, 2021Nov 6, 2023 (728 d)
Daniel James TaylorNuveen Asset Management, LLC mixed wealthThoroughbred Financial Services, LLC independent RIARIA to RIAAug 7, 2020Apr 6, 2022 (607 d)
Katherine Pope WilsonUBS Financial Services Inc. wirehouseThoroughbred Financial Services, LLC independent RIAWirehouse to independent RIAApr 23, 2019Apr 30, 2019
Heather Ogren HalePeak Financial Planning, LLC unclassifiedThoroughbred Financial Services, LLC independent RIAOtherMar 6, 2019Mar 11, 2019
Raymond Lee MockmoreMML Investors Services, LLC otherThoroughbred Financial Services, LLC otherOtherJan 5, 2011Jan 6, 2011
Michael Eugene GoldstonCambridge Equity Advisors Inc unclassifiedThoroughbred Financial Services, LLC otherOtherJun 8, 2009Jun 26, 2009
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10 moves match.