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.

Former SEC-registered adviser

E*Trade Capital Management, LLC

Former SEC-registered adviserArlington, VirginiaCRD 42159SEC 801-58085IAPD
Latest filing Aug 21, 2023
First filing on the tape Mar 30, 2012 · 48 filings
RAUM
$7.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$7.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
33
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$7.4B as of Mar 30, 2023
Mar 30, 2012$685M then
HNW client RAUM$1.2B as of Mar 30, 2023
Feb 15, 2018$233M then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 30, 20120 then
Employees (5.A)0 as of Mar 30, 2023
Apr 1, 20130 then
Private funds: no history
RAUM -39% over the last fiscal year-1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 21, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$81,564derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived34 offices incl. principal (1.F.5)
RAUM growth, one year
-39%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-6.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$7.4BreportedItem 5.I
Custody
$7.4B, 90,806 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$6.2B83%
  • High-net-worth individuals$1.2B16%
  • Corporations and businesses$27.9M0.4%
  • Charitable organizations$4.5M0.1%
  • Pension and profit-sharing plans$842,7720.0%
Individual clients
90,084reported
HNW clients
659reported
Pension plan clients
8reported
Charitable clients
15reported
Accounts
90,806reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$7.4B for 90,806 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jed Finn · Elected Managercontrol
    since 10/2020 · owns less than 5%
  • Gerard Timothy Hansen · Chief Compliance Officercontrol
    since 05/2022 · owns less than 5%
  • S Michael Hennessy · Elected Manager / Vice Presidentcontrol
    since 10/2020 · owns less than 5%
  • Cordt Benjamin Huneke · Chief Executive Officercontrol
    since 07/2021 · owns less than 5%
  • T James Janover · Elected Managercontrol
    since 10/2020 · owns less than 5%
  • Edward Chad Turner · Elected Manager / Vice Presidentcontrol
    since 10/2020 · owns less than 5%
Entity owners
  • Etcm Holdings, LLC · Sole Owner
    direct · owns 75% or more · public reporting company
  • Morgan Stanley · Member
    indirect · owns 75% or more of Morgan Stanley Capital Management, LLC · public reporting company
  • Morgan Stanley Capital Management, LLC · Member
    indirect · owns 75% or more of Morgan Stanley Domestic Holdings, LLC
  • Morgan Stanley Domestic Holdings, LLC · Member
    indirect · owns 75% or more of Etcm Holdings, LLC
Related persons
Schedule D 7.A
Advisers that list E*Trade Capital Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Alpharetta, GA72 employees
  • Alpharetta, GA55 employees
  • Jersey City, NJ50 employees
  • Sandy, UT48 employees
  • Washington, DC15 employees
  • San Diego, CA14 employees
  • Morristown, NJ14 employees
  • Cupertino, CA14 employees
  • Bloomington, MN13 employees
  • Plantation, FL13 employees
  • San Francisco, CA13 employees
  • Purchase, NY13 employees
  • New York, NY13 employees
  • New York, NY13 employees
  • Houston, TX13 employees
  • La Jolla, CA12 employees
  • Charlotte, NC12 employees
  • Irvine, CA12 employees
  • Garden City, NY12 employees
  • Greenwood Villiage, CO11 employees
  • West Conshohocken, PA11 employees
  • Los Angeles, CA10 employees
  • Chicago, IL10 employees
  • Menlo Park, CA10 employees
  • Portland, OR10 employees
What changed
consecutive filings, newest first
  • Accounts · 96,990 to 90,806
    Dec 22, 2022 to Mar 30, 2023
  • Advisory activities · 5 to 3
    Dec 22, 2022 to Mar 30, 2023
  • Charity clients · 13 to 15
    Dec 22, 2022 to Mar 30, 2023
  • Corporate clients · 88 to 40
    Dec 22, 2022 to Mar 30, 2023
  • HNW clients · 1,806 to 659
    Dec 22, 2022 to Mar 30, 2023
  • Individual clients · 95,074 to 90,084
    Dec 22, 2022 to Mar 30, 2023
  • Pension plan clients · 9 to 8
    Dec 22, 2022 to Mar 30, 2023
  • Assets in custody · $12B to $7.4B
    Dec 22, 2022 to Mar 30, 2023
  • Discretionary RAUM · $12B to $7.4B
    Dec 22, 2022 to Mar 30, 2023
  • HNW RAUM · $3.3B to $1.2B
    Dec 22, 2022 to Mar 30, 2023
  • Individual RAUM · $8.8B to $6.2B
    Dec 22, 2022 to Mar 30, 2023
  • Pension RAUM · $1.2M to $842,772
    Dec 22, 2022 to Mar 30, 2023
  • RAUM · $12B to $7.4B
    Dec 22, 2022 to Mar 30, 2023
  • Accounts · 78,360 to 96,990
    Jan 24, 2022 to Feb 24, 2022
  • Charity clients · 11 to 13
    Jan 24, 2022 to Feb 24, 2022
  • Corporate clients · 39 to 88
    Jan 24, 2022 to Feb 24, 2022
  • HNW clients · 1,330 to 1,806
    Jan 24, 2022 to Feb 24, 2022
  • Individual clients · 76,972 to 95,074
    Jan 24, 2022 to Feb 24, 2022
  • Pension plan clients · 8 to 9
    Jan 24, 2022 to Feb 24, 2022
  • Assets in custody · $9.7B to $12B
    Jan 24, 2022 to Feb 24, 2022
  • Discretionary RAUM · $9.7B to $12B
    Jan 24, 2022 to Feb 24, 2022
  • HNW RAUM · $2.9B to $3.3B
    Jan 24, 2022 to Feb 24, 2022
  • Individual RAUM · $6.7B to $8.8B
    Jan 24, 2022 to Feb 24, 2022
  • Pension RAUM · $572,247 to $1.2M
    Jan 24, 2022 to Feb 24, 2022
  • RAUM · $9.7B to $12B
    Jan 24, 2022 to Feb 24, 2022
  • Related bank · false to true
    Jan 24, 2022 to Feb 24, 2022
  • Accounts · 49,527 to 78,360
    Jan 15, 2021 to Feb 18, 2021
  • Charity clients · 0 to 11
    Jan 15, 2021 to Feb 18, 2021
  • Corporate clients · 17 to 39
    Jan 15, 2021 to Feb 18, 2021
  • HNW clients · 19 to 1,330
    Jan 15, 2021 to Feb 18, 2021
  • Individual clients · 49,480 to 76,972
    Jan 15, 2021 to Feb 18, 2021
  • Pension plan clients · 11 to 8
    Jan 15, 2021 to Feb 18, 2021
  • Assets in custody · $7.8B to $9.7B
    Jan 15, 2021 to Feb 18, 2021
  • Discretionary RAUM · $7.8B to $9.7B
    Jan 15, 2021 to Feb 18, 2021
  • HNW RAUM · $320M to $2.9B
    Jan 15, 2021 to Feb 18, 2021
  • Individual RAUM · $7.5B to $6.7B
    Jan 15, 2021 to Feb 18, 2021
  • Pension RAUM · $589,600 to $572,247
    Jan 15, 2021 to Feb 18, 2021
  • RAUM · $7.8B to $9.7B
    Jan 15, 2021 to Feb 18, 2021
  • Related adviser · false to true
    Jun 18, 2020 to Oct 29, 2020
  • Accounts · 35,265 to 49,527
    Nov 14, 2019 to Mar 26, 2020
Signals
60 dated events
  • Amber L Kimbley no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 7, 2023 · Advisor departure · fact
  • Kelly Lynanne Anderson no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 5, 2023 · Advisor departure · fact
  • Bradley P Knight no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 5, 2023 · Advisor departure · fact
  • Renee Jean Gauthier no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 5, 2023 · Advisor departure · fact
  • Ricardo Jose Delgado no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 5, 2023 · Advisor departure · fact
  • Alan Gordon Bailey no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 5, 2023 · Advisor departure · fact
  • Jeffrey G Hochstetler no longer registered at E*Trade Capital Management, Llc; no later IA registration on IAPD
    Sep 5, 2023 · Advisor departure · fact
  • Benjamin Ross Ezrine left E*Trade Capital Management, Llc for Capital Investment Advisors, Llc (registered 2023-09-18)
    Aug 24, 2023 · Advisor changed firm · fact
  • Stephen Sliwa left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-09-08)
    Aug 21, 2023 · Advisor changed firm · fact
  • Victor E. Salanovsky left E*Trade Capital Management, Llc for Citizens Securities, Inc. (registered 2023-12-01)
    Aug 21, 2023 · Advisor changed firm · fact
  • Brett Mulitz left E*Trade Capital Management, Llc for J.P. Morgan Securities Llc (registered 2023-08-08)
    Aug 21, 2023 · Advisor changed firm · fact
  • Matthew Michael Maher left E*Trade Capital Management, Llc for Advice And Planning Services (registered 2023-08-22)
    Aug 21, 2023 · Advisor changed firm · fact
  • Scott Tyler Odonnell left E*Trade Capital Management, Llc for Oppenheimer & Co. Inc. (registered 2023-09-12)
    Aug 21, 2023 · Advisor changed firm · fact
  • Jacob A Epstein left E*Trade Capital Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-08-16)
    Aug 21, 2023 · Advisor changed firm · fact
  • Joseph Sparacino left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-08-25)
    Aug 21, 2023 · Advisor changed firm · fact
  • Sei Il Im left E*Trade Capital Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-09-01)
    Aug 21, 2023 · Advisor changed firm · fact
  • James Lang left E*Trade Capital Management, Llc for Ubs Financial Services Inc. (registered 2023-11-02)
    Aug 21, 2023 · Advisor changed firm · fact
  • Stephen Bornet left E*Trade Capital Management, Llc for Td Private Client Wealth Llc (registered 2023-10-18)
    Aug 21, 2023 · Advisor changed firm · fact
  • Carlos Caban left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-09-15)
    Aug 21, 2023 · Advisor changed firm · fact
  • Osmar Hernandez left E*Trade Capital Management, Llc for Citizens Securities, Inc. (registered 2023-09-26)
    Aug 21, 2023 · Advisor changed firm · fact
  • Keith R Schneider left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-11-14)
    Aug 21, 2023 · Advisor changed firm · fact
  • 2 advisors left E*Trade Capital Management, LLC (New York, NY) for Citizens Securities, Inc. on the same day
    Aug 21, 2023 · Team lift-out · derived
  • 2 advisors left E*Trade Capital Management, LLC (Garden City, NY) for Merrill Lynch, Pierce, Fenner & Smith Incorporated on the same day
    Aug 21, 2023 · Team lift-out · derived
  • Carrie Lee left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-10-04)
    Aug 18, 2023 · Advisor changed firm · fact
  • Evander Douglas Thompson left E*Trade Capital Management, Llc for Advice And Planning Services (registered 2023-09-08)
    Aug 18, 2023 · Advisor changed firm · fact
  • Brian William Gilroy left E*Trade Capital Management, Llc for Edelman Financial Engines (registered 2024-08-08)
    Aug 18, 2023 · Advisor changed firm · fact
  • Richard John Gunderud left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-09-25)
    Aug 18, 2023 · Advisor changed firm · fact
  • Judin Pierre Louis left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-09-06)
    Aug 18, 2023 · Advisor changed firm · fact
  • Marc A Ferraiola left E*Trade Capital Management, Llc for Citigroup Global Markets Inc. (registered 2023-12-21)
    Aug 18, 2023 · Advisor changed firm · fact
  • Mark Szwagulinski left E*Trade Capital Management, Llc for Td Private Client Wealth Llc (registered 2024-01-04)
    Aug 18, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026