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 Investments

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
Thomas William Donnelly	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Jul 24, 2014 (2088 d)
Tad Shawn Geiman	Guggenheim Investments other	Advisors Asset Management, Inc. mixed wealth	Other	Nov 4, 2008	Jan 3, 2020 (4077 d)
Lloyd Elbert Pegues	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Nov 4, 2024 (5844 d)
Anastasia Thermos	Guggenheim Investments other	Guggenheim Investment Advisors, LLC other	Other	Nov 4, 2008	Feb 17, 2012 (1200 d)
Daniel George Medina	Guggenheim Investments other	Chase Investment Services Corp. other	Other	Nov 4, 2008	Oct 19, 2009 (349 d)
Greg Joseph Kyles	Guggenheim Investments other	Edward Jones national BD	Other	Nov 4, 2008	Oct 6, 2009 (336 d)
John Eric Tenofsky	Guggenheim Investments other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 4, 2008	May 6, 2016 (2740 d)
Jose Dejesus Cervantes	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Aug 23, 2010 (657 d)
Andrew John Raia	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Oct 5, 2009 (335 d)
Sean Michael Lynch	Guggenheim Investments other	Montage Investments, LLC other	Other	Nov 4, 2008	Jun 11, 2012 (1315 d)
Brad Ryan Brondsema	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Oct 1, 2009 (331 d)
Brett James Clark	Guggenheim Investments other	Ameriprise Financial Services, LLC national BD	Other	Nov 4, 2008	May 23, 2012 (1296 d)
Jarret Michael Shattuck	Guggenheim Investments other	Zacks Investment Management, Inc. other	Other	Nov 4, 2008	Feb 13, 2009 (101 d)
Brian Matthew Bare	Guggenheim Investments other	Edward Jones national BD	Other	Nov 4, 2008	Feb 2, 2009 (90 d)
Andrew Stuart Zimmerman	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Mar 11, 2009 (127 d)
Kevin Kennedy Connolly	Guggenheim Investments other	Invesco Advisers, Inc. other	Other	Nov 4, 2008	Jun 30, 2016 (2795 d)
Jason W. Cowie	Guggenheim Investments other	3d Asset Management, Inc. other	Other	Nov 4, 2008	Jun 7, 2014 (2041 d)
Christopher Shea Marmion	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Jan 4, 2010 (426 d)
Thomas George Koleski	Guggenheim Investments other	Cedar Capital, LLC other	Other	Nov 4, 2008	Jul 27, 2017 (3187 d)
Gregory Scott Aagaard	Guggenheim Investments other	Elkhorn Investments no RAUM	Other	Nov 4, 2008	Sep 20, 2013 (1781 d)
Bryan Robert Huhn	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Apr 5, 2011 (882 d)
Carlos Jesus Gonzalez	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	May 26, 2009 (203 d)
Aaron Scott Castle	Guggenheim Investments other	First Trust Advisors LP other	Other	Nov 4, 2008	Jun 4, 2012 (1308 d)
Kristen Noelle Roder	Guggenheim Investments other	Deutsche Bank Securities Inc. other	Other	Nov 4, 2008	Feb 16, 2010 (469 d)
Andrew James Goodenough	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Nov 4, 2008	Oct 5, 2009 (335 d)
Garrett Smith	Guggenheim Investments other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Oct 21, 2008	Aug 9, 2022 (5040 d)
Matthew William Boren	Guggenheim Investments other	Nuveen Fund Advisors, LLC other	Other	Oct 21, 2008	Oct 21, 2008
Rikka Marie Erway	Guggenheim Investments other	First Trust Advisors LP other	Other	May 12, 2008	Nov 16, 2011 (1283 d)
Thomas Andrew Marik	Guggenheim Investments other	Federated Investment Counseling other	Other	Apr 9, 2008	Jun 24, 2008 (76 d)
Eric S. Erway	Guggenheim Investments other	Zacks Investment Management, Inc. other	Other	Apr 9, 2008	Apr 20, 2009 (376 d)
Vanessa L Pfaff	Guggenheim Investments other	UBS Financial Services Inc. wirehouse	Other	Oct 10, 2007	Oct 2, 2014 (2549 d)
Gregory E Hyde	Guggenheim Investments other	Suntrust Investment Services, Inc. other	Other	Jul 10, 2007	Oct 17, 2011 (1560 d)
Daniel Martin Swallow	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 2, 2007
John Richard Devries	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 3, 2007
Peter Joseph Catalano	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 16, 2007
Anthony Robert Saba	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jul 5, 2007
Gregory Brian Clarkin	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jul 10, 2007	Jan 8, 2013 (2009 d)
Eugene Everett Peroni	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Jun 5, 2007	May 17, 2007
Adam Ilung Kim	Guggenheim Investments other	Securities America Advisors, Inc. other	Other	Mar 22, 2007	Nov 23, 2010 (1342 d)
Inger Margit Jansen	Guggenheim Investments other	Advisors Asset Management, Inc. other	Other	Feb 5, 2007	Mar 21, 2007 (44 d)
Richard Shane Johnson	Guggenheim Investments other	U.S. Bancorp Investments, Inc. other	Other	Aug 29, 2006	Aug 23, 2006
Matthew Petrizzo	Guggenheim Investments other	Van Kampen Advisors Inc unclassified	Other	Jul 21, 2006	Jul 26, 2006
Benjamin Charles Gravina	Guggenheim Investments other	Ryan Beck & Co. unclassified	Other	May 30, 2006	Jun 13, 2006
Jason Elliot Cadell	Guggenheim Investments other	Assetmark, Inc. other	Other	Feb 17, 2006	Jan 26, 2010 (1439 d)
Nathan William Ibarra	Guggenheim Investments other	Hsbc Securities (USA) Inc. other	Other	Jan 20, 2006	Jan 17, 2017 (4015 d)
Matthew E Griffin	Guggenheim Investments other	Fifth Third Securities, Inc. other	Other	Jan 11, 2006	Jun 19, 2009 (1255 d)
Brett Colby Egner	Guggenheim Investments other	First Trust Advisors LP other	Other	Jan 11, 2006	Oct 21, 2011 (2109 d)
Nathan James Kubik	Guggenheim Investments other	Northland Asset Management other	Other	Dec 16, 2005	Mar 7, 2012 (2273 d)
Janek Pedersen	Guggenheim Investments other	UBS Financial Services Inc. wirehouse	Other	Jun 1, 2005	Feb 2, 2006 (246 d)
John Joseph Osullivan	Guggenheim Investments other	First Trust Advisors LP other	Other	May 23, 2005	Nov 23, 2011 (2375 d)
Aaron Thomas Cates	Guggenheim Investments other	Great Lakes Advisors, LLC other	Other	Feb 23, 2005	Mar 1, 2005
Ryan T Galardi	Guggenheim Investments other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 30, 2004	Dec 5, 2005 (462 d)

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52 moves match.