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 Pgim Investments 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
John Frank RoselliniPgim Investments LLC asset managerCapital Client Group, Inc. no RAUMOtherJun 15, 2026Jul 27, 2026 (42 d)
Yining ShenPgim Investments LLC asset managerPgim, Inc. otherOtherMay 21, 2026May 21, 2026
Mitchell S. GilbertPgim Investments LLC asset managerCohen & Steers Capital Management Inc. asset managerOtherApr 23, 2026May 7, 2026
Giancarlo ContiPgim Investments LLC asset managerCalamos Advisors LLC asset managerOtherFeb 5, 2026May 17, 2024
Robert Joseph MrozekPgim Investments LLC asset managerStrategic Advisers LLC national BDOtherDec 2, 2025Feb 26, 2026 (86 d)
Kevin J OconnorPgim Investments LLC asset managerLord, Abbett & Co. LLC asset managerOtherJun 16, 2025Jun 18, 2025
Shelby ReevesPgim Investments LLC asset managerFisher Investments independent RIAOtherJun 3, 2025Jun 26, 2025
Matthew N OzbalikPgim Investments LLC asset managerBlackrock Investment Management, LLC otherOtherApr 3, 2025Apr 24, 2025
Zachary B CurtisPgim Investments LLC asset managerBlackrock Investment Management, LLC otherOtherNov 18, 2024Dec 11, 2024
Ross Michael KirwanPgim Investments LLC asset managerLPL Financial LLC BD affiliatedOtherSep 5, 2024Sep 18, 2024
John ChristoliniPgim Investments LLC asset managerEmpower Advisory Group, LLC BD affiliatedOtherApr 1, 2024Apr 3, 2024
Joshua LeonPgim Investments LLC asset managerRBC Capital Markets, LLC national BDOtherFeb 13, 2024Dec 5, 2023
John Norris ObannonPgim Investments LLC asset managerAkre Capital Management, LLC asset managerOtherDec 8, 2023Dec 7, 2023
Michael FragapanePgim Investments LLC asset managerCitigroup Global Markets Inc. BD affiliatedOtherAug 3, 2023Sep 20, 2023 (48 d)
Ryan Daniel LynchPgim Investments LLC asset managerCatalyst Capital Advisors LLC asset managerOtherJul 13, 2023Aug 24, 2023 (42 d)
David P SchneiderPgim Investments LLC asset managerObsidian Cio LLC asset managerOtherMay 23, 2023Sep 1, 2026 (1197 d)
Anthony LanfranchiPgim Investments LLC asset managerThurston Springer Advisors BD affiliatedOtherApr 21, 2023Mar 6, 2024 (320 d)
Stephen Bartholomew LuethiPgim Investments LLC asset managerLord, Abbett & Co. LLC asset managerOtherSep 28, 2022Nov 25, 2022 (58 d)
Keith CalandraPgim Investments LLC asset managerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 21, 2022Feb 10, 2023 (142 d)
Jake Patrick McmanusPgim Investments LLC asset managerLPL Financial LLC independent RIAOtherSep 13, 2022Oct 11, 2022
Matthew John AdeyPgim Investments LLC asset managerMorgan Stanley wirehouseOtherJun 27, 2022Jul 21, 2022
Edward Devon SpauldingPgim Investments LLC asset managerKcd Financial, Inc. independent RIAOtherMay 16, 2022Apr 12, 2024 (697 d)
Christopher CirriPgim Investments LLC asset managerEquitable Advisors, LLC national BDOtherMay 5, 2022May 2, 2022
Caleb Keith ClarkPgim Investments LLC asset managerEdward Jones national BDOtherFeb 9, 2022Feb 9, 2022
Michael Paul RomaPgim Investments LLC asset managerCohen & Steers Capital Management Inc. asset managerOtherDec 16, 2021Jan 7, 2022
Melissa Margaret KarwoskiPgim Investments LLC asset managerCharles Schwab & Co., Inc. national BDOtherMay 24, 2021Jun 14, 2021
Lindsey Cain BulgerPgim Investments LLC asset managerNomura Investment Management Business Trust asset managerOtherMay 13, 2021Sep 26, 2022 (501 d)
Keith R DeweyPgim Investments LLC asset managerEquitable Advisors, LLC national BDOtherApr 30, 2021Dec 22, 2020
Michael P WalshPgim Investments LLC asset managerFidelity Personal And Workplace Advisors BD affiliatedOtherApr 12, 2021Jan 13, 2022 (276 d)
Allison Marie StraubPgim Investments LLC asset managerCapital Client Group, Inc. no RAUMOtherJul 23, 2019Aug 13, 2019
Bradley John HargravePgim Investments LLC asset managerJ.P. Morgan Securities LLC wirehouseOtherJul 2, 2019Jun 20, 2019
Elias PadronPgim Investments LLC asset managerEagle Strategies LLC BD affiliatedOtherMay 31, 2019Mar 10, 2022 (1014 d)
Eric SnyderPgim Investments LLC asset managerNew York Life Investment Management LLC asset managerOtherJan 7, 2019Jan 15, 2019
Joseph Anthony IracePgim Investments LLC asset managerCetera Advisor Networks LLC BD affiliatedOtherSep 19, 2018Nov 12, 2020 (785 d)
Scott DutcherPgim Investments LLC asset managerT. Rowe Price Advisory Services, Inc. independent RIAOtherSep 12, 2018Sep 12, 2018
Giuseppe RiggiPgim Investments LLC asset managerBeacon Global Advisor Network, LLC independent RIAOtherAug 28, 2018Nov 7, 2024 (2263 d)
Ross Edward RamseyPgim Investments LLC otherUBS Financial Services Inc. wirehouseOtherFeb 1, 2017Oct 20, 2017 (261 d)
Ryan SheaPgim Investments LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 31, 2017Feb 7, 2017
William John NiederauerPgim Investments LLC otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherOct 25, 2016Nov 18, 2016
Lisa Celeste HallaianPgim Investments LLC otherCambridge Investment Research Advisors, Inc. BD affiliatedOtherJul 13, 2016Jan 2, 2026 (3460 d)
Jason ChurchPgim Investments LLC otherAdk Wealth Advisory Group otherOtherJun 27, 2016Mar 20, 2017 (266 d)
Jon FerraioloPgim Investments LLC otherVoya Investment Management Co. LLC asset managerOtherJun 27, 2016Aug 7, 2019 (1136 d)
Gregory Scott StevensPgim Investments LLC otherForesters Advisory Services, LLC otherOtherMay 17, 2016Aug 12, 2016 (87 d)
Timothy HeilfertyPgim Investments LLC otherPnc Wealth Management otherOtherFeb 4, 2016Jul 13, 2016 (160 d)
Joseph B RowanPgim Investments LLC otherAmeriprise Financial Services, LLC national BDOtherApr 2, 2015Apr 16, 2015
Kenneth L. HaworthPgim Investments LLC otherFidelity Personal And Workplace Advisors BD affiliatedOtherSep 10, 2014Sep 15, 2022 (2927 d)
John Campbell YackelPgim Investments LLC otherEnvestnet Pmc otherOtherJul 16, 2013Nov 25, 2013 (132 d)
Daniel Vincent DaleyPgim Investments LLC otherEnvestnet Pmc otherOtherJul 16, 2013Nov 19, 2013 (126 d)
Michael Anthony SalduttiPgim Investments LLC otherEnvestnet Pmc independent RIAOtherJul 16, 2013Nov 8, 2024 (4133 d)
Janet Louise Mariconti- ShabmanPgim Investments LLC otherEnvestnet Pmc independent RIAOtherJul 15, 2013Oct 11, 2024 (4106 d)
Linda Ann MarschkePgim Investments LLC otherEnvestnet Pmc otherOtherJul 15, 2013Nov 25, 2013 (133 d)
Robert G MatalaPgim Investments LLC otherEnvestnet Pmc otherOtherJul 15, 2013Nov 13, 2013 (121 d)
Carlos Manuel NoriegaPgim Investments LLC otherForesters Advisory Services, LLC no RAUMOtherJan 11, 2012Aug 24, 2012 (226 d)
Henry John TallardyPgim Investments LLC otherWestern International Securities otherOtherNov 21, 2011Jan 18, 2012 (58 d)
Dwayne JavierPgim Investments LLC otherNorthwestern Mutual Investment Services,LLC otherOtherSep 12, 2011Feb 7, 2012 (148 d)
John Frederic ChisholmPgim Investments LLC otherGuggenheim Investments otherOtherApr 28, 2011Mar 4, 2014 (1041 d)
Edward Joseph TribblePgim Investments LLC otherIpi Wealth Management, Inc. otherOtherJun 21, 2010Nov 8, 2011 (505 d)
Eric Scott KofordPgim Investments LLC otherMorgan Stanley wirehouseOtherMay 22, 2009Sep 30, 2009 (131 d)
Richard James CalabroPgim Investments LLC otherPnc Wealth Management otherOtherDec 19, 2008Apr 21, 2009 (123 d)
Carlos Alberto EstevesPgim Investments LLC otherPruco Securities, LLC otherOtherDec 18, 2008Mar 11, 2009 (83 d)
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97 moves match.