Daily Brief RIA Saturday

Finleet RIA Daily Brief — March 28, 2026

A comprehensive daily roundup of ria activity across personnel changes, enforcement actions, registrations, and regulatory filings. Data sourced from SEC IAPD, Form ADV filings, FINRA BrokerCheck.

By Cassandra Troy · Finleet RIA Daily Brief

March 28, 2026

Advisor Moves 200 events

No events recorded in this category.

Entities Referenced

211-002-035 211-128-073 211-276-178 211-311-305 211-566-421 211-645-814 211-824-508 211-838-356 211-891-030 211-900-066 211-966-654 211-983-396 212-000-861 212-065-332 212-113-992 212-199-607 212-229-453 212-238-586 212-304-857 212-506-439

FINLEET VERIFIED Intelligence Standard

WHAT IS THIS? →

■

Source Verified

Every data point traced to SEC IAPD, Form ADV filings, FINRA BrokerCheck

■

Terminal Powered

Data from Finleet Terminal — 111,000+ regulated entities

■

AI Narrative

Prose written by local LLM — zero external API calls, zero data leakage

■

Guardrail Checked

Every dollar amount & percentage cross-checked against source records

The AI writes the story. The data writes the truth. No numbers are generated — only sourced.

GET THE TERMINAL