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 Bny Mellon Advisors, Inc.

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.

Advisor	From	To	Type	Left	Registered
Gregory Allison	Bny Mellon Advisors, Inc. independent RIA	Orion Portfolio Solutions, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Aug 25, 2025	Aug 26, 2025
George B Harris	Bny Mellon Advisors, Inc. independent RIA	Janney Montgomery Scott LLC BD affiliated	RIA to affiliated broker-dealer or bank	May 15, 2025	Aug 8, 2025 (85 d)
Josh Dreseris	Bny Mellon Advisors, Inc. independent RIA	RBC Rochdale, LLC BD affiliated	RIA to affiliated broker-dealer or bank	May 15, 2025	Dec 18, 2025 (217 d)
James Patrick Hayes	Bny Mellon Advisors, Inc. independent RIA	Capital Client Group, Inc. no RAUM	Other	Nov 26, 2024	Dec 6, 2024
Lauren Boyce	Bny Mellon Advisors, Inc. independent RIA	Schwab Wealth Advisory, Inc. no RAUM	Other	Nov 26, 2024	Dec 15, 2025 (384 d)
Ross Emrick	Bny Mellon Advisors, Inc. independent RIA	Meeder Advisory Services, Inc. independent RIA	RIA to RIA	Nov 13, 2024	Oct 25, 2024
Sean David Spellman	Bny Mellon Advisors, Inc. independent RIA	MML Investors Services, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Feb 7, 2023	Nov 8, 2023 (274 d)
Kevin Patrick St. Clair	Bny Mellon Advisors, Inc. independent RIA	Envestnet Pmc independent RIA	RIA to RIA	Feb 7, 2023	Jan 26, 2024 (353 d)
David Michael Frascella	Bny Mellon Advisors, Inc. independent RIA	Ih2 Advisors & Company asset manager	Other	Feb 7, 2023	May 17, 2024 (465 d)
Francis William Sedgwick	Bny Mellon Advisors, Inc. independent RIA	Sei Investments Management Corp other	Other	Jun 29, 2022	Apr 20, 2023 (295 d)
Thomas Peter Pileggi	Bny Mellon Advisors, Inc. independent RIA	Orion Portfolio Solutions, LLC independent RIA	RIA to RIA	Apr 7, 2022	Apr 7, 2022
Jude Cooke	Bny Mellon Advisors, Inc. independent RIA	Vanguard Advisers, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Apr 6, 2021	Apr 6, 2021
Mariame Kouyate	Bny Mellon Advisors, Inc. independent RIA	Sei Investments Management Corp other	Other	Mar 22, 2021	Apr 26, 2021 (35 d)
David Hubbs	Bny Mellon Advisors, Inc. independent RIA	Citizens Securities, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Sep 10, 2020	Sep 21, 2020
Daniel Vincent Daley	Bny Mellon Advisors, Inc. independent RIA	Ideas In Finance state registered	RIA to a state-registered adviser	Jul 22, 2019	Aug 7, 2019
Christopher James Barr	Bny Mellon Advisors, Inc. independent RIA	MML Investors Services, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Apr 29, 2019	May 30, 2019 (31 d)
Jae Yu	Bny Mellon Advisors, Inc. independent RIA	Bancwest Investment Services, Inc. (Bwis) BD affiliated	RIA to affiliated broker-dealer or bank	Mar 1, 2019	May 7, 2019 (67 d)
Shawn Thomas Waltz	Bny Mellon Advisors, Inc. independent RIA	Dunham independent RIA	RIA to RIA	Mar 1, 2019	Jul 23, 2019 (144 d)
Michael Honer	Bny Mellon Advisors, Inc. independent RIA	Chartwell Investment Partners, LLC other	Other	Dec 10, 2018	Feb 11, 2019 (63 d)
Rebecca Ann Chiccino	Bny Mellon Advisors, Inc. independent RIA	LPL Financial LLC BD affiliated	RIA to affiliated broker-dealer or bank	Sep 17, 2018	Aug 31, 2020 (714 d)
Valerie Marie Widhson	Bny Mellon Advisors, Inc. other	Lincoln Investment other	Other	Mar 12, 2018	Mar 13, 2018
David Michael Little	Bny Mellon Advisors, Inc. other	RBC Rochdale, LLC other	Other	Apr 19, 2016	Apr 27, 2016
David Dominic Marsico	Bny Mellon Advisors, Inc. other	Securian Financial Services, Inc. other	Other	Jan 19, 2016	Jan 20, 2016
Seamus Thomas Obrien	Bny Mellon Advisors, Inc. other	Sei Investments Management Corp other	Other	Oct 6, 2015	Jun 9, 2022 (2438 d)
Christopher Ruffino	Bny Mellon Advisors, Inc. other	Clearbridge Investments, LLC other	Other	Apr 1, 2015	Apr 13, 2015
Brian Edward Kraus	Bny Mellon Advisors, Inc. other	Hartford Funds other	Other	Mar 17, 2015	Mar 16, 2015
Jason John Hodak	Bny Mellon Advisors, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 9, 2015	Mar 7, 2016 (364 d)
Daniel Kenton Penrose	Bny Mellon Advisors, Inc. other	Clearbridge Investments, LLC mixed wealth	Other	Jan 14, 2015	Aug 24, 2026 (4240 d)
Brian Trost	Bny Mellon Advisors, Inc. other	Osaic Fs, Inc. other	Other	Nov 24, 2014	Jun 3, 2016 (557 d)
Timothy Michael Macarak	Bny Mellon Advisors, Inc. other	West Capital Management, Inc. other	Other	Aug 25, 2014	Sep 24, 2015 (395 d)
Lauren Boyce	Bny Mellon Advisors, Inc. other	Vanguard Advisers, Inc. other	Other	Aug 25, 2014	Sep 22, 2014
Jonathan Edward Fonash	Bny Mellon Advisors, Inc. other	Capital One Financial Advisors LLC unclassified	Other	May 2, 2014	May 14, 2014
Benjamin John Ludwig	Bny Mellon Advisors, Inc. other	RBC Rochdale, LLC other	Other	Mar 14, 2014	Apr 9, 2014
Brett M Rizor	Bny Mellon Advisors, Inc. other	Strategic Advisers LLC national BD	Other	Sep 4, 2013	Jan 13, 2014 (131 d)
Arik Clayton Garner	Bny Mellon Advisors, Inc. other	Morgan Stanley wirehouse	Other	May 21, 2013	Nov 19, 2013 (182 d)
Joseph Robostello	Bny Mellon Advisors, Inc. other	LPL Financial LLC other	Other	May 16, 2013	May 20, 2013
James R Whalen	Bny Mellon Advisors, Inc. other	Northwestern Mutual Investment Services,LLC no RAUM	Other	Oct 15, 2012	Apr 14, 2016 (1277 d)
Donna Marie Cunningham	Bny Mellon Advisors, Inc. other	Commonwealth Financial Network national BD	Other	Aug 8, 2012	Aug 2, 2016 (1455 d)
Jonathan L Steiner	Bny Mellon Advisors, Inc. other	Pnc Wealth Management other	Other	Jul 16, 2012	Aug 23, 2012 (38 d)
Scott Shellhamer	Bny Mellon Advisors, Inc. other	Warren Financial Service other	Other	Mar 19, 2012	Mar 26, 2012
Mark Wojtowicz	Bny Mellon Advisors, Inc. other	Globalt Inc other	Other	Dec 13, 2011	Mar 2, 2012 (80 d)
Edward Joseph Nescio	Bny Mellon Advisors, Inc. other	Strategic Advisers LLC national BD	Other	Nov 30, 2011	Jun 19, 2013 (567 d)
Stephanie F Mackara	Bny Mellon Advisors, Inc. other	Cowen Prime Advisors other	Other	Sep 12, 2011	Aug 14, 2013 (702 d)
Andre David Robinson	Bny Mellon Advisors, Inc. other	Voya Financial Advisors, Inc. other	Other	Mar 14, 2011	Jul 12, 2012 (486 d)
Robert Guido Battista	Bny Mellon Advisors, Inc. other	Citigroup Global Markets Inc. other	Other	Aug 5, 2010	Dec 16, 2010 (133 d)
Evan Robert Ratnow	Bny Mellon Advisors, Inc. other	Citigroup Global Markets Inc. other	Other	Jun 9, 2010	Dec 8, 2010 (182 d)
Steven Clarke Treftz	Bny Mellon Advisors, Inc. other	Lockwood Financial Services, Inc. unclassified	Other	May 21, 2010	Jul 19, 2006
Donald Thomas Marchesiello	Bny Mellon Advisors, Inc. other	Lockwood Financial Services, Inc. unclassified	Other	Jan 20, 2010	Jul 19, 2006
Jason Lawrence	Bny Mellon Advisors, Inc. other	Equitable Advisors, LLC national BD	Other	Jun 2, 2009	Jun 19, 2009
Edmund Kean John	Bny Mellon Advisors, Inc. other	Concourse Financial Group Advisors other	Other	Jan 23, 2009	Nov 1, 2010 (647 d)
Terry Lee Bussard	Bny Mellon Advisors, Inc. other	Assetmark, Inc. other	Other	Nov 11, 2008	Jan 14, 2009 (64 d)
Lester Edward Gallagher	Bny Mellon Advisors, Inc. other	Equitable Advisors, LLC national BD	Other	Oct 28, 2008	Nov 17, 2008
David Michael Little	Bny Mellon Advisors, Inc. other	Lockwood Financial Services, Inc. unclassified	Other	Mar 27, 2008	Jul 19, 2006
Robert Guido Battista	Bny Mellon Advisors, Inc. other	Lockwood Financial Services, Inc. unclassified	Other	Mar 14, 2008	Mar 14, 2008
Robert Edward Szymanski	Bny Mellon Advisors, Inc. other	Cetera Investment Services LLC other	Other	Feb 25, 2008	Apr 11, 2013 (1872 d)
Paul Scot Wedeen	Bny Mellon Advisors, Inc. other	Cambridge Investment Research Advisors, Inc. other	Other	Jan 4, 2008	Mar 6, 2008 (62 d)
Timothy Yeats Thomas	Bny Mellon Advisors, Inc. other	Hoey Investments, Inc. independent RIA	Other	Jan 2, 2008	Apr 23, 2018 (3764 d)
Brian Edward Kraus	Bny Mellon Advisors, Inc. other	Lockwood Financial Services, Inc. unclassified	Other	Jul 10, 2007	Jul 19, 2006
Jeffrey Kenneth Merten	Bny Mellon Advisors, Inc. other	Citigroup Global Markets Inc. other	Other	Apr 23, 2007	May 16, 2007
Robin J. Lane	Bny Mellon Advisors, Inc. other	Lockwood Financial Services, Inc. unclassified	Other	Apr 2, 2007	Jul 19, 2006

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76 moves match.