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 Aegis Capital, 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.

Advisor	From	To	Type	Left	Registered
Stephen Douglas Norton	Aegis Capital, LLC other	Capital Guardian Wealth Management, LLC other	Other	Mar 27, 2012	Jun 16, 2009
Karen Lee Zaramba	Aegis Capital, LLC other	Charter Oak Capital Management other	Other	Dec 22, 2011	Mar 29, 2011
Paul Scott Taylor	Aegis Capital, LLC other	Capital Investment Advisors, Inc unclassified	Other	Aug 19, 2011	Aug 18, 2011
Joseph Weston Norton	Aegis Capital, LLC other	Msi Financial Services, Inc. other	Other	Mar 2, 2010	Apr 28, 2010 (57 d)
Joseph Weston Norton	Aegis Capital, LLC other	Tca Financial Group, LLC unclassified	Other	Dec 31, 2008	Jul 5, 2005
Christopher R Bice	Aegis Capital, LLC other	Sunamerica Securities, Inc. unclassified	Other	Feb 1, 2005	Feb 2, 2005
Stephen Douglas Norton	Aegis Capital, LLC other	Sunamerica Securities, Inc. unclassified	Other	Feb 1, 2005	Feb 1, 2005
Stephen Edward Repak	Aegis Capital, LLC other	Sunamerica Securities, Inc. unclassified	Other	Jan 21, 2005	Jan 21, 2005
Richard Daren Johnson	Aegis Capital, LLC other	Sunamerica Securities, Inc. unclassified	Other	Jan 21, 2005	Jan 21, 2005

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9 moves match.