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 Rothschild Investment

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
Charlie Joseph KuhnJ.P. Morgan Securities LLC wirehouseRothschild Investment independent RIAWirehouse to independent RIADec 9, 2025Dec 4, 2025
Jacqueline Paredes SedlakHightower Advisors, LLC BD affiliatedRothschild Investment independent RIAAffiliated broker-dealer or bank to independent RIAJan 22, 2025Jan 28, 2025
Skylar Shea RushMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRothschild Investment independent RIAWirehouse to independent RIAApr 13, 2023Apr 24, 2023
Joseph Scott SindelarLasalle Street Capital Management, LLC independent RIARothschild Investment independent RIARIA to RIADec 13, 2019Jun 4, 2020 (174 d)
Anne Fitzgerald FrancissenAmeriprise Financial Services, LLC national BDRothschild Investment otherOtherJan 15, 2016Jan 21, 2016
James HofheimerMorgan Stanley wirehouseRothschild Investment otherOtherJun 25, 2014Jun 16, 2014
James Allyn FrankeRobert W. Baird & Co. Incorporated otherRothschild Investment otherOtherDec 23, 2011Dec 15, 2011
Ladd Edward SolomonWells Fargo Investments, LLC unclassifiedRothschild Investment independent RIAOtherSep 21, 2009Jun 2, 2020 (3907 d)
Jonathon Anthony BellLasalle Financial Services, Inc. unclassifiedRothschild Investment otherOtherJun 1, 2007Jun 27, 2007
Alexander I CreviMorgan Stanley Dw Inc. unclassifiedRothschild Investment otherOtherJul 7, 2006Sep 12, 2006 (67 d)
Donald Lee RoseenBanc One Securities Corporation unclassifiedRothschild Investment otherOtherApr 15, 2003Jun 3, 2003 (49 d)
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11 moves match.