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 Shepherd Kaplan 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
Thomas Patrick FallonShepherd Kaplan LLC asset managerOsaic Wealth, Inc. BD affiliatedOtherMar 17, 2026Apr 2, 2026
Eric Preston ScruggsShepherd Kaplan LLC asset managerNdvr no RAUMOtherAug 27, 2020Feb 8, 2021 (165 d)
Christina G VerzinoShepherd Kaplan LLC asset managerJ.P. Morgan Private Wealth Advisors LLC BD affiliatedOtherJul 9, 2019Aug 15, 2019 (37 d)
Whitney E SolcherShepherd Kaplan LLC asset managerUlrich Investment Consultants otherOtherApr 2, 2019Apr 1, 2019
Albert John OttoShepherd Kaplan LLC mixed wealthVerity Asset Management independent RIARIA to RIADec 31, 2017Jun 5, 2018 (156 d)
Christopher Adam ShepherdShepherd Kaplan LLC otherSpearhead Capital Advisors, LLC otherOtherOct 31, 2017Nov 6, 2017
Julie Ar ShankShepherd Kaplan LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 19, 2017Jun 30, 2017 (42 d)
Maggie Webster PiccirilloShepherd Kaplan LLC otherLPL Financial LLC otherOtherOct 17, 2016Nov 15, 2016
Andrew G BonettiShepherd Kaplan LLC otherCetera Investment Advisers LLC BD affiliatedOtherJul 26, 2016Mar 21, 2024 (2795 d)
James M LawlessShepherd Kaplan LLC otherTwin Focus Capital Partners, LLC otherOtherMay 23, 2016Jun 15, 2016
Christopher Alan CahillShepherd Kaplan LLC otherTwelve Points Wealth Management otherOtherApr 8, 2016Jan 20, 2016
Daniel Robert ZibinskasShepherd Kaplan LLC otherBeaumont Financial Partners LLC otherOtherOct 17, 2011Oct 31, 2011
Thomas J. BirrittellaShepherd Kaplan LLC otherHillcrest Wealth Advisors - Ny, LLC otherOtherMar 30, 2011Apr 15, 2011
Laurie Lynn NovakShepherd Kaplan LLC otherCongress Wealth Management LLC otherOtherMar 30, 2011Mar 16, 2015 (1447 d)
Luther Charles MeythalerShepherd Kaplan LLC otherMmc Securities LLC no RAUMOtherJan 13, 2011Jun 14, 2011 (152 d)
Stephen Fred ConteShepherd Kaplan LLC otherPresidio Capital Advisors LLC otherOtherJul 20, 2010May 7, 2014 (1387 d)
Paul Joseph RobertsShepherd Kaplan LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 19, 2008Apr 10, 2015 (2486 d)
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17 moves match.