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 Capital Guardian Wealth Management, 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
Mark Allen Gaynoe	Capital Guardian Wealth Management, LLC independent RIA	Lebenthal Global Advisors, LLC independent RIA	RIA to RIA	Dec 31, 2018	Aug 18, 2020 (596 d)
Paul Mark Zoch	Capital Guardian Wealth Management, LLC independent RIA	Avenir Private Advisors, LLC independent RIA	RIA to RIA	Dec 31, 2018	Apr 12, 2019 (102 d)
Christian Eliezer Urbina	Capital Guardian Wealth Management, LLC independent RIA	Avenir Private Advisors, LLC no RAUM	RIA to a newly registered adviser	Dec 31, 2018	Dec 18, 2018
Maxime Fleming Jean-Louis	Capital Guardian Wealth Management, LLC independent RIA	Avenir Private Advisors, LLC no RAUM	RIA to a newly registered adviser	Dec 31, 2018	Dec 18, 2018
Everett Scott Youngberg	Capital Guardian Wealth Management, LLC independent RIA	Avenir Private Advisors, LLC no RAUM	RIA to a newly registered adviser	Nov 15, 2018	Nov 14, 2018
Mark Edward Rienerth	Capital Guardian Wealth Management, LLC independent RIA	Avenir Private Advisors, LLC no RAUM	RIA to a newly registered adviser	Nov 6, 2018	Nov 7, 2018
Mark David Coffey	Capital Guardian Wealth Management, LLC independent RIA	Avenir Private Advisors, LLC no RAUM	RIA to a newly registered adviser	Nov 6, 2018	Nov 6, 2018
Thomas Spessard Cain	Capital Guardian Wealth Management, LLC independent RIA	Kovack Advisors, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 13, 2018	Jul 13, 2018
Bob Palmer Hodges	Capital Guardian Wealth Management, LLC independent RIA	Kovack Advisors, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 13, 2018	May 6, 2020 (663 d)
William Charles Brooks	Capital Guardian Wealth Management, LLC independent RIA	Osaic Institutions, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 13, 2018	Aug 15, 2019 (398 d)
Michael Thomas Edwards	Capital Guardian Wealth Management, LLC independent RIA	Kovack Advisors, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 13, 2018	Jul 11, 2018
Stephen Rocco Facella	Capital Guardian Wealth Management, LLC independent RIA	Kovack Advisors, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 13, 2018	Jul 5, 2018
Carlton Anthony Buckley	Capital Guardian Wealth Management, LLC independent RIA	Concourse Financial Group Advisors BD affiliated	RIA to affiliated broker-dealer or bank	Jul 3, 2018	Jul 3, 2018
Jonathan Adam Greene	Capital Guardian Wealth Management, LLC independent RIA	Edward Jones national BD	RIA to affiliated broker-dealer or bank	Jul 2, 2018	Jun 11, 2018
Michael John Gordon	Capital Guardian Wealth Management, LLC other	Questar Asset Management, Inc. BD affiliated	Other	Feb 12, 2018	Feb 13, 2018
Mary Kathleen Newhouse	Capital Guardian Wealth Management, LLC other	Questar Asset Management, Inc. BD affiliated	Other	Feb 12, 2018	Feb 13, 2018
Luiz David Azambuja	Capital Guardian Wealth Management, LLC other	Insigneo Advisory Services, LLC other	Other	Feb 12, 2018	Mar 9, 2018
Luiz David Xavier Azambuja	Capital Guardian Wealth Management, LLC other	Insigneo Advisory Services, LLC other	Other	Feb 12, 2018	Mar 27, 2018 (43 d)
Frank Stephen Sparger	Capital Guardian Wealth Management, LLC other	Stonex Advisors Inc. other	Other	Dec 31, 2017	Aug 5, 2017
Richard Darren Simons	Capital Guardian Wealth Management, LLC other	Diamond Wealth Management, LLC independent RIA	Other	Nov 3, 2017	Nov 17, 2017
Jason Robert Brown	Capital Guardian Wealth Management, LLC other	Equitable Advisors, LLC national BD	Other	Jun 22, 2017	Oct 29, 2018 (494 d)
David Bart Hill	Capital Guardian Wealth Management, LLC other	Diamond Wealth Management, LLC no RAUM	Other	May 19, 2017	Jun 19, 2017 (31 d)
Thomas Hugh Curry	Capital Guardian Wealth Management, LLC other	Osaic Fs, Inc. other	Other	May 2, 2017	May 2, 2017
Jason Darren Campbell	Capital Guardian Wealth Management, LLC other	Cambridge Investment Research Advisors, Inc. other	Other	Mar 16, 2017	Mar 28, 2017
Joseph Daniel Dahl	Capital Guardian Wealth Management, LLC other	Questar Asset Management, Inc. other	Other	Feb 1, 2017	Feb 1, 2017
James Ball	Capital Guardian Wealth Management, LLC other	Questar Asset Management, Inc. other	Other	Jan 3, 2017	Jan 10, 2017
Samuel Dean Turner	Capital Guardian Wealth Management, LLC other	Questar Asset Management, Inc. other	Other	Dec 2, 2016	Dec 5, 2016
Bryan Thomas Cassells	Capital Guardian Wealth Management, LLC other	Questar Asset Management, Inc. other	Other	Nov 30, 2016	Dec 2, 2016
Dianne Perry Odom	Capital Guardian Wealth Management, LLC other	J. W. Cole Advisors, Inc. other	Other	Nov 11, 2016	Nov 10, 2016
Rocky Steven Montgomery	Capital Guardian Wealth Management, LLC other	Prospera Financial Services, Inc. other	Other	Sep 23, 2016	Sep 19, 2016
Joseph Harold Littky	Capital Guardian Wealth Management, LLC other	Global Trust other	Other	Aug 10, 2016	Sep 15, 2016 (36 d)
Stephen Douglas Norton	Capital Guardian Wealth Management, LLC other	Kalos Management other	Other	Jul 6, 2016	Jul 5, 2016
Jonathan William King	Capital Guardian Wealth Management, LLC other	Osaic Fs, Inc. other	Other	Feb 1, 2016	Feb 2, 2016
David Watts Mcmahan	Capital Guardian Wealth Management, LLC other	Advisorstrust Partners LLC no RAUM	Other	Jan 12, 2016	Aug 15, 2025 (3503 d)
Charles Wallace Seigler	Capital Guardian Wealth Management, LLC other	Prospera Financial Services, Inc. other	Other	Jan 12, 2016	Jan 11, 2016
Kyle David Sikes	Capital Guardian Wealth Management, LLC other	Prospera Financial Services, Inc. other	Other	Jan 12, 2016	Jan 11, 2016
Robert Alexander Mann	Capital Guardian Wealth Management, LLC other	Osaic Fs, Inc. other	Other	Dec 28, 2015	Dec 24, 2015
David Kitterman	Capital Guardian Wealth Management, LLC other	LPL Financial LLC other	Other	Dec 10, 2015	Dec 11, 2015
James Patrick Lowry	Capital Guardian Wealth Management, LLC other	LPL Financial LLC other	Other	Dec 8, 2015	Dec 7, 2015
Kenneth Wayne Miller	Capital Guardian Wealth Management, LLC other	Integrated Financial Strategies, LLC other	Other	Nov 19, 2015	Nov 19, 2015
Philip Charles Miller	Capital Guardian Wealth Management, LLC other	Integrated Financial Strategies, LLC other	Other	Nov 19, 2015	Nov 19, 2015
Matthew Scott Archer	Capital Guardian Wealth Management, LLC other	Triad Advisors, LLC other	Other	Nov 17, 2015	Nov 17, 2015
Nina Moore Stibbs	Capital Guardian Wealth Management, LLC other	Triad Advisors, LLC other	Other	Nov 17, 2015	Nov 17, 2015
Dennis Roger Nolte	Capital Guardian Wealth Management, LLC other	Invest Financial Corporation other	Other	Oct 26, 2015	Sep 28, 2015
Arturo Jesus Rodriguez Diaz	Capital Guardian Wealth Management, LLC other	Aegis Capital Corp. other	Other	Jul 10, 2015	Jun 11, 2015
Eric James Glassbrenner	Capital Guardian Wealth Management, LLC other	Center Street Advisors, Inc. no RAUM	Other	Jun 17, 2015	Jun 26, 2015
Christopher Todd	Capital Guardian Wealth Management, LLC other	Summit Financial Group Inc other	Other	May 12, 2015	May 6, 2015
Paul Dulin Spencer	Capital Guardian Wealth Management, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 6, 2015	Apr 7, 2015
Richard David Peck	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 19, 2015	Mar 7, 2024 (3276 d)
Peter Tomlinson Roe	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 17, 2015	Mar 21, 2024 (3292 d)
Frank Stuart Blackard	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 17, 2015	Jan 26, 2024 (3237 d)
Matthew J Nielsen	Capital Guardian Wealth Management, LLC other	Stonecrest Advisors, Inc. mixed wealth	Other	Mar 17, 2015	Jun 19, 2015 (94 d)
Reiko Y Powderly	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 17, 2015	Mar 7, 2024 (3278 d)
Amanda P Hall	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 17, 2015	Mar 21, 2024 (3292 d)
Jason Dewande Bell	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Mar 17, 2015	Mar 21, 2024 (3292 d)
Christie Ann Campanella	Capital Guardian Wealth Management, LLC other	Cetera Advisors LLC other	Other	Mar 2, 2015	Feb 26, 2015
Michael Scott Blanchard	Capital Guardian Wealth Management, LLC other	Prospera Financial Services, Inc. other	Other	Feb 13, 2015	Feb 18, 2015
Jeffrey Mark Eagle	Capital Guardian Wealth Management, LLC other	Mora Capital Management, LLC other	Other	Jan 9, 2015	Feb 25, 2015 (47 d)
Chikako Kashino	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Jan 2, 2015	Jun 29, 2023 (3100 d)
Margaret Mary Reid	Capital Guardian Wealth Management, LLC other	Cetera Investment Advisers LLC BD affiliated	Other	Dec 18, 2014	Jun 29, 2023 (3115 d)

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92 moves match.