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 Old Mutual Capital

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
Mark Byron Bentley	Old Mutual Capital other	Bts Asset Management, Inc. other	Other	Feb 15, 2012	Feb 24, 2014 (740 d)
Joseph A Hillebrand	Old Mutual Capital other	Empower Advisory Group, LLC other	Other	Dec 31, 2011	Jul 20, 2016 (1663 d)
Angela Williams Holland	Old Mutual Capital other	H. Beck, Inc. other	Other	Sep 23, 2010	Sep 13, 2011 (355 d)
Heather Lynn Pacheco	Old Mutual Capital other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 30, 2009	Jan 4, 2010 (66 d)
Patrick Joseph Prato	Old Mutual Capital other	Persimmon Capital Management LP other	Other	Jul 27, 2009	Aug 16, 2011 (750 d)
Stephen James Coulter	Old Mutual Capital other	Morgan Stanley wirehouse	Other	Jul 27, 2009	Oct 29, 2009 (94 d)
Ryan Newton	Old Mutual Capital other	Cetera Investment Advisers LLC BD affiliated	Other	Jul 27, 2009	Jan 27, 2021 (4202 d)
Daniel Saul Ferszt	Old Mutual Capital other	Icon Advisers, Inc. other	Other	Jul 27, 2009	Aug 16, 2010 (385 d)
Clay Grant Mitchell	Old Mutual Capital other	Cambiar Investors, LLC other	Other	Jul 27, 2009	Jun 23, 2011 (696 d)
Michael Aaron Jones	Old Mutual Capital other	Curian Capital, LLC other	Other	Jul 27, 2009	Aug 18, 2009
Julie Ann Sullivan	Old Mutual Capital other	Fisco Investment Management, L.P. other	Other	Apr 17, 2009	Dec 2, 2009 (229 d)
John Joseph Morad	Old Mutual Capital other	Chase Investment Services Corp. other	Other	Dec 2, 2008	Dec 22, 2008
Townsend Hornor	Old Mutual Capital other	Spc other	Other	Sep 19, 2008	Sep 22, 2010 (733 d)
Christopher Mark Moore	Old Mutual Capital other	K-One Investment Company, Inc. unclassified	Other	Sep 19, 2008	Dec 19, 2008 (91 d)
Maria Magdalena Fessler	Old Mutual Capital other	Wells Fargo Advisors wirehouse	Other	Sep 19, 2008	Jan 13, 2009 (116 d)
Moncherie Lenae Mason	Old Mutual Capital other	Allspring Funds Management, LLC other	Other	Jul 21, 2008	Sep 8, 2008 (49 d)
Jeffrey Spurling	Old Mutual Capital other	Snow Capital Management, L.P. other	Other	Jul 15, 2008	Jul 29, 2010 (744 d)
Michael Mark Reeves	Old Mutual Capital other	Morningstar Investment Services LLC other	Other	May 23, 2008	Jun 6, 2008
Brian Nielsen Mulberry	Old Mutual Capital other	Trademark Capital Management Inc other	Other	Apr 1, 2008	Jan 6, 2015 (2471 d)
Shahriar Faraji	Old Mutual Capital other	Td Ameritrade, Inc. no RAUM	Other	Feb 26, 2008	May 8, 2019 (4089 d)
Georgia Martin Adams	Old Mutual Capital other	Voya Investment Management Co. LLC other	Other	Nov 21, 2007	Jun 4, 2008 (196 d)
Andrew Graham Mckay	Old Mutual Capital other	Edward Jones national BD	Other	Oct 2, 2007	Jun 5, 2019 (4264 d)
Kyong H Kim	Old Mutual Capital other	Cetera Advisors LLC other	Other	Oct 2, 2006	Oct 17, 2006

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23 moves match.