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 First Trust Advisors LP

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
William F Mccarty	First Trust Advisors LP asset manager	Charles Schwab & Co., Inc. national BD	Other	Mar 20, 2019	Jul 9, 2019 (111 d)
Bryan Charles Tennant	First Trust Advisors LP asset manager	Aviva Investors Americas asset manager	Other	Feb 8, 2019	Feb 19, 2019
Colleen L Rapp	First Trust Advisors LP asset manager	Bluestone Capital Management, LLC asset manager	Other	Jan 25, 2019	Oct 3, 2019 (251 d)
Stephen Carl Peterson	First Trust Advisors LP asset manager	Ameriprise Financial Services, LLC national BD	Other	Oct 25, 2018	Jan 21, 2022 (1184 d)
Gregory Killingsworth Smith	First Trust Advisors LP asset manager	Ameriprise Financial Services, LLC national BD	Other	Sep 7, 2018	Oct 6, 2018
Michael Paul Glas	First Trust Advisors LP other	Cetera Investment Advisers LLC BD affiliated	Other	Jan 5, 2018	Jul 25, 2018 (201 d)
Cal Jason Smith	First Trust Advisors LP other	Advisors Asset Management, Inc. mixed wealth	Other	Oct 13, 2017	Jun 20, 2018 (250 d)
Bonnie Beth Belskis	First Trust Advisors LP other	Confluence Investment Management LLC other	Other	Aug 2, 2017	Jan 24, 2018 (175 d)
Colette L Beaumont	First Trust Advisors LP other	Assetmark, Inc. BD affiliated	Other	Jul 18, 2017	Nov 27, 2019 (862 d)
Jeffrey A Baker	First Trust Advisors LP other	Brookmont Capital Management other	Other	Jun 8, 2017	Aug 22, 2017 (75 d)
Robin Burge	First Trust Advisors LP other	Edward Jones national BD	Other	May 24, 2017	Sep 5, 2017 (104 d)
William Del Cotto	First Trust Advisors LP other	Edward Jones national BD	Other	Mar 7, 2017	Jun 16, 2017 (101 d)
Aaron Feldman	First Trust Advisors LP other	Strategic Advisers LLC national BD	Other	Jan 11, 2017	Aug 23, 2017 (224 d)
Richard G Jaeger	First Trust Advisors LP other	Hennion & Walsh Asset Management, Inc. other	Other	Oct 10, 2016	Jan 5, 2017 (87 d)
Luke Anthony Hofsommer	First Trust Advisors LP other	Raymond James Financial Services Advisors, Inc other	Other	Jul 20, 2016	Aug 9, 2016
Colin P Plunkett	First Trust Advisors LP other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 9, 2016	Jan 12, 2021 (1709 d)
Lucas Scott Lavin	First Trust Advisors LP other	Advisors Asset Management, Inc. other	Other	May 4, 2016	Sep 27, 2023 (2702 d)
Peter Mc Donald Oliphant	First Trust Advisors LP other	Nationwide Investment Advisors, LLC other	Other	May 4, 2016	Dec 9, 2016 (219 d)
Brett David Boor	First Trust Advisors LP other	UBS Financial Services Inc. wirehouse	Other	Dec 23, 2015	Mar 8, 2016 (76 d)
Jeffrey Warren Fehrmann	First Trust Advisors LP other	J.P. Morgan Securities LLC wirehouse	Other	Jan 12, 2015	Jan 12, 2017 (731 d)
Thomas Patrick Monks	First Trust Advisors LP other	Hartford Funds other	Other	Dec 17, 2014	May 18, 2015 (152 d)
Carlos Edward Barbosa	First Trust Advisors LP other	Horizon Investments LLC other	Other	Dec 3, 2014	Jan 30, 2017 (789 d)
Michael James Lewis	First Trust Advisors LP other	Destra Capital Advisors LLC other	Other	Sep 18, 2014	Feb 12, 2015 (147 d)
Terry Wayne Swagerty	First Trust Advisors LP other	Morgan Stanley wirehouse	Other	Sep 12, 2014	Oct 25, 2021 (2600 d)
Thomas A Evans	First Trust Advisors LP other	Blackrock Investment Management, LLC other	Other	Jul 2, 2014	Jul 2, 2014
Lance Allen	First Trust Advisors LP other	Edward Jones national BD	Other	May 8, 2014	Jun 18, 2018 (1502 d)
Aaron Scott Castle	First Trust Advisors LP other	Morgan Stanley wirehouse	Other	Apr 1, 2014	Jul 17, 2014 (107 d)
Kevin Kowalczyk	First Trust Advisors LP other	Proshare Advisors LLC other	Other	Feb 26, 2014	Aug 8, 2014 (163 d)
Bryan Gregory Sandvig	First Trust Advisors LP other	New York Life Investment Management LLC other	Other	Feb 20, 2014	Apr 2, 2014 (41 d)
Tyler Andrew Anderson	First Trust Advisors LP other	Larson Financial Group, LLC other	Other	Jan 2, 2014	Feb 21, 2014 (50 d)
Noah Corrigan Burns	First Trust Advisors LP other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Jul 18, 2013	Jul 29, 2013
John Francis Degelmann	First Trust Advisors LP other	Edward Jones national BD	Other	Jan 22, 2013	Jun 7, 2013 (136 d)
Jason Scott Swedo	First Trust Advisors LP other	Astor Asset Management LLC other	Other	May 10, 2012	Jun 7, 2012
Brady Kenneth Petersen	First Trust Advisors LP other	Larson Financial Group, LLC other	Other	Sep 12, 2011	Dec 20, 2017 (2291 d)
Michael James Rodgers	First Trust Advisors LP other	Cuso Financial Services, L.P. other	Other	Feb 24, 2009	May 7, 2009 (72 d)
Raymond Joseph Kozicki	First Trust Advisors LP other	First Advisors National, LLC other	Other	Feb 24, 2009	Sep 9, 2014 (2023 d)

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96 moves match.