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 Smh Capital 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
Jenny Don CarlosSmh Capital Advisors LLC otherFirst Command Advisory Services BD affiliatedOtherJan 20, 2023Feb 17, 2023
Deborah Eileen SmithSmh Capital Advisors LLC otherFirst Command Advisory Services otherOtherDec 1, 2017Dec 1, 2017
Christine E GoatesSmh Capital Advisors LLC otherFirst Command Advisory Services otherOtherFeb 19, 2013Dec 15, 2015 (1029 d)
Jimmy Rhea DaySmh Capital Advisors LLC otherProspera Financial Services, Inc. otherOtherSep 11, 2012Aug 31, 2012
Cindy Michelle TamborelloSmh Capital Advisors LLC otherProspera Financial Services, Inc. otherOtherSep 11, 2012Sep 3, 2012
Stephen Richard CordillSmh Capital Advisors LLC otherSanders Morris LLC otherOtherAug 8, 2011Jun 14, 2006
William Richard HurtSmh Capital Advisors LLC otherSmh Group Investment Advisors Inc. unclassifiedOtherDec 31, 2006Feb 2, 2006
Richard Allan WalshSmh Capital Advisors LLC otherSanders Morris LLC otherOtherJul 14, 2006Dec 20, 2006 (159 d)
Jeffrey Alan ThompsonSmh Capital Advisors LLC otherFsc Securities Corporation otherOtherFeb 27, 2006Mar 1, 2006
Paula Sue LevineSmh Capital Advisors LLC otherMorgan Stanley wirehouseOtherDec 6, 2005Apr 26, 2013 (2698 d)
Lawrence Jay KalishSmh Capital Advisors LLC otherOppenheimer & Co. Inc. otherOtherDec 6, 2005Dec 6, 2005
Neal Paul QuonSmh Capital Advisors LLC otherNext Financial Group, Inc. otherOtherNov 8, 2005Sep 5, 2007 (666 d)
John Neale McintyreSmh Capital Advisors LLC otherWells Fargo Advisors wirehouseOtherNov 3, 2005Nov 14, 2005
Janice Ann Webb LavinSmh Capital Advisors LLC otherAbshier Webb Donnelly & Baker, Inc. unclassifiedOtherJan 5, 2005Aug 29, 2006 (601 d)
John PerrySmh Capital Advisors LLC otherRaymond James Financial Services, Inc. unclassifiedOtherMay 4, 2004May 17, 2004
Brad Kenneth HeindelSmh Capital Advisors LLC otherMorgan Stanley Dw Inc. unclassifiedOtherJan 30, 2004Mar 30, 2004 (60 d)
William Cleveland HooverSmh Capital Advisors LLC otherCapnet Advisors Incorporated unclassifiedOtherAug 13, 2003Sep 10, 2009 (2220 d)
Craig Gordon WearSmh Capital Advisors LLC otherWootton Financial Group Inc otherOtherJul 22, 2003Aug 28, 2003 (37 d)
William Ray WilliamsSmh Capital Advisors LLC otherWrwco, LLC otherOtherJul 22, 2003Jan 29, 2003
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19 moves match.