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

Departures from Guggenheim Investments

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
Austin SmithGuggenheim Investments asset managerMorgan Stanley wirehouseOtherOct 3, 2025Oct 9, 2025
Scott Andrew LarsenGuggenheim Investments asset managerAmplify Etfs asset managerOtherJun 12, 2025Aug 10, 2026 (424 d)
Mark Richard SkeltonGuggenheim Investments asset managerFirst Trust Advisors LP asset managerOtherApr 25, 2025May 7, 2025
Claire Katherine HemmelgarnGuggenheim Investments asset managerRussell Investments otherOtherMar 25, 2025Apr 24, 2025
Kurt Allan PetricekGuggenheim Investments asset managerZacks Investment Management, Inc. mixed wealthOtherFeb 5, 2025Feb 11, 2026 (371 d)
Christopher Mcfaddin CleggGuggenheim Investments asset managerCalamos Advisors LLC asset managerOtherDec 11, 2024Dec 17, 2024
Carl Richard ResnickGuggenheim Investments asset managerFlexible Plan Investments Ltd mixed wealthOtherOct 16, 2024Oct 18, 2024
James Patrick PhillipsGuggenheim Investments asset managerFirst Trust Advisors LP asset managerOtherAug 4, 2023Jul 19, 2023
Clinton Paul BarberGuggenheim Investments asset managerCorient independent RIAOtherFeb 27, 2023Mar 21, 2023
Casey Ryan SlettenGuggenheim Investments asset managerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 2, 2022Feb 17, 2023 (77 d)
Peter RatcliffeGuggenheim Investments asset managerAmerican Beacon Advisors, Inc. otherOtherOct 24, 2022Nov 14, 2022
Patrick Thomas WrightGuggenheim Investments asset managerFirst Trust Advisors LP asset managerOtherSep 26, 2022Sep 27, 2022
Jonathan Edward BoringGuggenheim Investments asset managerAdvisors Asset Management, Inc. otherOtherAug 2, 2022Aug 10, 2022
Matthew Joseph KomerGuggenheim Investments asset managerKera Capital Partners independent RIAOtherJun 21, 2022Sep 15, 2022 (86 d)
Kyle BrownGuggenheim Investments asset managerFirst Trust Advisors LP asset managerOtherJun 21, 2022Jun 23, 2022
John Thomas AndrewsGuggenheim Investments asset managerCalamos Advisors LLC asset managerOtherJun 8, 2022Nov 15, 2022 (160 d)
Daniel Christopher HornbakerGuggenheim Investments asset managerHoward Capital Management, LLC independent RIAOtherJan 21, 2022Jan 30, 2022
John Daniel FlavinGuggenheim Investments asset managerSecurity Global Investors unclassifiedOtherJan 13, 2022Jun 23, 2009
Arthur KhaykinGuggenheim Investments asset managerUBS Financial Services Inc. wirehouseOtherNov 29, 2021Nov 30, 2021
John McguckinGuggenheim Investments asset managerFirst Trust Advisors LP asset managerOtherJun 16, 2021Jun 1, 2021
Brian Desmond QuinnGuggenheim Investments asset managerCohen & Steers Capital Management Inc. asset managerOtherMay 18, 2021Jul 22, 2022 (430 d)
David M HartGuggenheim Investments asset managerMichigan Money Management Advisers, LLC unclassifiedOtherJan 22, 2021Jan 28, 2021
Kristine Marie WarnerGuggenheim Investments asset managerCharles Schwab Investment Advisory, Inc independent RIAOtherApr 13, 2020Apr 21, 2020
Jeffrey T. TeareGuggenheim Investments asset managerFirst Trust Advisors LP asset managerOtherJan 7, 2020Jan 3, 2020
James Banigan CaseyGuggenheim Investments asset managerSmead Capital Management, Inc. mixed wealthOtherAug 26, 2019Sep 24, 2019
Darin Bond RothGuggenheim Investments asset managerMorgan Stanley wirehouseOtherJul 1, 2019Jul 22, 2019
John Michael RizzoloGuggenheim Investments asset managerFidelity Personal And Workplace Advisors BD affiliatedOtherJun 25, 2019Aug 16, 2019 (52 d)
Michael Vincent MccormickGuggenheim Investments asset managerAmeriprise Financial Services, LLC national BDOtherMay 29, 2018Jun 6, 2018
David Scott AhernGuggenheim Investments asset managerInvesco Advisers, Inc. asset managerOtherApr 20, 2018Apr 25, 2018
Thomas P HigginsGuggenheim Investments otherHennion & Walsh Asset Management, Inc. BD affiliatedOtherJan 12, 2018Mar 22, 2018 (69 d)
Amy Lynn SullivanGuggenheim Investments otherCap Strat institutionalOtherJun 8, 2017May 9, 2019 (700 d)
Katrina Marie JacobsGuggenheim Investments otherT. Rowe Price Associates, Inc. otherOtherOct 20, 2016Apr 11, 2017 (173 d)
Lauren Elizabeth MetajGuggenheim Investments otherNorthern Trust Investments, Incorporated asset managerOtherOct 20, 2016Aug 27, 2018 (676 d)
Brian K CarlisleGuggenheim Investments otherHartford Funds otherOtherSep 7, 2016Sep 16, 2016
Indya Maree YuillGuggenheim Investments otherBeacon Pointe Advisors, LLC otherOtherApr 29, 2016May 17, 2016
Joseph Gerard McquaidGuggenheim Investments otherWealthshield LLC mixed wealthOtherOct 15, 2015Jul 9, 2018 (998 d)
Todd Paul MuentzerGuggenheim Investments otherLPL Financial LLC otherOtherOct 1, 2015Aug 2, 2017 (671 d)
Mark Robert BovaGuggenheim Investments otherLenity Financial, Inc. state registeredOtherSep 30, 2015Jul 25, 2016 (299 d)
Stephen James CoulterGuggenheim Investments otherHamilton Investment Counsel, LLC otherOtherSep 11, 2015Sep 14, 2017 (734 d)
Jacob John RigertGuggenheim Investments otherFirst Trust Advisors LP otherOtherSep 1, 2015Sep 1, 2015
Bryan Tyrell StigerGuggenheim Investments otherAdvice And Planning Services otherOtherJul 9, 2015Jul 14, 2015
James Robert RensmanGuggenheim Investments otherPgim Investments LLC otherOtherMay 4, 2015May 12, 2015
Kevin S. ClarkGuggenheim Investments otherWells Fargo Advisors wirehouseOtherAug 18, 2014Sep 9, 2014
Garrett H BrookesGuggenheim Investments otherGlobalt Investments otherOtherFeb 11, 2014Mar 25, 2015 (407 d)
Michael P. CoffeeGuggenheim Investments otherJ.P. Morgan Securities LLC wirehouseOtherNov 23, 2012Jun 26, 2014 (580 d)
Kevin Dale GautGuggenheim Investments otherMorgan Stanley wirehouseOtherSep 14, 2012Oct 8, 2012
Marc Claude ZeitounGuggenheim Investments otherColumbia Management Investment Advisers, LLC otherOtherMay 7, 2012May 15, 2017 (1834 d)
Christopher Milbourne SegoGuggenheim Investments otherLazard Asset Management LLC otherOtherDec 6, 2011Dec 21, 2011
Michael Christopher DipieroGuggenheim Investments otherAssetmark, Inc. otherOtherDec 5, 2011Apr 9, 2012 (126 d)
Eric John StuderGuggenheim Investments otherPgim Investments LLC otherOtherSep 19, 2011Dec 14, 2011 (86 d)
Peter Allan SykesGuggenheim Investments otherPutnam Investment Management, LLC otherOtherAug 24, 2011Jul 25, 2012 (336 d)
Paul Thomas EvonGuggenheim Investments otherFirst Trust Advisors LP otherOtherMar 16, 2011Aug 10, 2017 (2339 d)
Shawn Allen WearsGuggenheim Investments otherCambridge Investment Research Advisors, Inc. otherOtherFeb 23, 2011Jun 4, 2013 (832 d)
Lori Darlene PowellGuggenheim Investments otherValic Financial Advisors, Inc. otherOtherMay 29, 2009Apr 7, 2010 (313 d)
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54 moves match.