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 Investment Advisors, 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
Joshua Ryan RothsteinGuggenheim Investment Advisors, LLC otherAngeles Wealth Management, LLC otherOtherMay 8, 2014Jun 20, 2014 (43 d)
Anastasia ThermosGuggenheim Investment Advisors, LLC otherWilliam Blair & Company L.L.C. otherOtherMar 15, 2012Sep 12, 2012 (181 d)
Jose Felix RemyGuggenheim Investment Advisors, LLC otherAlvarium Investment Managers (US), LLC independent RIAOtherJun 9, 2010Nov 28, 2018 (3094 d)
Gerhard Herrera-PahlGuggenheim Investment Advisors, LLC otherAlti Wealth Management (US International), Inc. otherOtherJun 9, 2010Jun 16, 2010
Samuel Wells CovertGuggenheim Investment Advisors, LLC otherAlti Wealth Management (US International), Inc. otherOtherJun 9, 2010Aug 5, 2010 (57 d)
Ricardo Cayetano De La SernaGuggenheim Investment Advisors, LLC otherAlvarium Investment Managers (US), LLC independent RIAOtherJun 9, 2010Mar 4, 2020 (3556 d)
Maria Cristina CureGuggenheim Investment Advisors, LLC otherAlti Wealth Management (US International), Inc. otherOtherJun 9, 2010Jun 16, 2010
Martin E ZavaliaGuggenheim Investment Advisors, LLC otherAlti Wealth Management (US International), Inc. otherOtherJun 9, 2010Sep 8, 2010 (91 d)
Peter EarlyGuggenheim Investment Advisors, LLC otherExos Asset Management LLC asset managerOtherNov 6, 2009Jul 1, 2021 (4255 d)
Walter Chalmers ReisingerGuggenheim Investment Advisors, LLC otherHill Investment Group otherOtherFeb 9, 2009Apr 8, 2011 (788 d)
Barry Joseph KlarbergGuggenheim Investment Advisors, LLC otherAsset Alliance Advisors Inc. otherOtherDec 22, 2008Jan 27, 2011 (766 d)
Stephen Richard KitchingGuggenheim Investment Advisors, LLC otherShingle Oak Advisors, LLC unclassifiedOtherApr 18, 2008Mar 3, 2009 (319 d)
Ignacio Gabriel PakciarzGuggenheim Investment Advisors, LLC otherBigsur Partners, LLC otherOtherJan 17, 2008Apr 21, 2008 (95 d)
Gretchen T MclaughlinGuggenheim Investment Advisors, LLC otherMorgan Stanley & Co. LLC unclassifiedOtherMar 5, 2007Feb 26, 2007
Carlos HollanderGuggenheim Investment Advisors, LLC otherState Capital Wealth Management Inc unclassifiedOtherJul 7, 2006Sep 13, 2007 (433 d)
Martin GuyotGuggenheim Investment Advisors, LLC otherNoctua International Wmg, LLC independent RIAOtherMay 31, 2006Jan 1, 2025 (6790 d)
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16 moves match.