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 Herbert J. Sims Capital Management, Inc.

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
Stacy Mari GoldsmithHerbert J. Sims Capital Management, Inc. independent RIARpm Capital Management, LLC independent RIARIA to RIADec 3, 2024Feb 19, 2026 (443 d)
Denis Rafael TothHerbert J. Sims Capital Management, Inc. independent RIACommonwealth Financial Network national BDRIA to affiliated broker-dealer or bankApr 15, 2024Sep 19, 2024 (157 d)
Roberto Javier Santos CarroHerbert J. Sims Capital Management, Inc. independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankApr 12, 2024Apr 12, 2024
Jorge Alberto MaldonadoHerbert J. Sims Capital Management, Inc. independent RIAFsam LLC independent RIARIA to RIADec 20, 2023Jan 19, 2024
Les R CampbellHerbert J. Sims Capital Management, Inc. independent RIAMorgan Stanley wirehouseRIA to wirehouseMar 28, 2023Mar 30, 2023
Raul Juan Escudero VilletaHerbert J. Sims Capital Management, Inc. independent RIAFsam LLC independent RIARIA to RIADec 21, 2022Jan 20, 2023
Luis Currais LopezHerbert J. Sims Capital Management, Inc. independent RIAFsam LLC independent RIARIA to RIANov 21, 2022Nov 30, 2022
Louis Armand Rodriguez NaderHerbert J. Sims Capital Management, Inc. independent RIAFsam LLC independent RIARIA to RIAOct 7, 2021Nov 16, 2021 (40 d)
German RamirezdearellanoHerbert J. Sims Capital Management, Inc. independent RIAFsam LLC independent RIARIA to RIAJun 16, 2021Jul 1, 2021
Jose Ivan Acosta JordanHerbert J. Sims Capital Management, Inc. independent RIAKovack Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 11, 2021Aug 20, 2021 (70 d)
Keith Jarrett RavodowitzHerbert J. Sims Capital Management, Inc. independent RIAA.G.P / Alliance Global Partners independent RIARIA to RIAAug 31, 2020Aug 31, 2020
Ashley V LeopoldHerbert J. Sims Capital Management, Inc. independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankFeb 4, 2020Feb 27, 2020
Roberto Feria CesteroHerbert J. Sims Capital Management, Inc. independent RIANpa Asset Management, LLC independent RIARIA to RIAJan 17, 2020Mar 13, 2020 (56 d)
Roberto Jose Pineda CastellviHerbert J. Sims Capital Management, Inc. independent RIAStonecrest Advisors, Inc. mixed wealthRIA to RIAJan 17, 2020Feb 21, 2020 (35 d)
Adrian Andres FernandezHerbert J. Sims Capital Management, Inc. independent RIAStonecrest Advisors, Inc. mixed wealthRIA to RIAAug 5, 2019Jul 15, 2020 (345 d)
Pedro Gonzalez CaldasHerbert J. Sims Capital Management, Inc. independent RIAStonecrest Advisors, Inc. mixed wealthRIA to RIAJul 15, 2019Jul 23, 2019
Lynn StebbinsHerbert J. Sims Capital Management, Inc. independent RIASecurian Financial Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 25, 2019May 6, 2019
John M MoranHerbert J. Sims Capital Management, Inc. independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankFeb 27, 2019Feb 8, 2019
Jeffrey Robert MahoneyHerbert J. Sims Capital Management, Inc. independent RIAFbl Wealth Management, LLC no RAUMRIA to a newly registered adviserFeb 27, 2019Feb 20, 2019
Harold Jay LauberHerbert J. Sims Capital Management, Inc. independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankOct 17, 2018Oct 16, 2018
Timothy Bain HoweHerbert J. Sims Capital Management, Inc. independent RIAPlanmember Securities Corporation independent RIARIA to RIASep 5, 2018Sep 25, 2018
Roberto W RoffoHerbert J. Sims Capital Management, Inc. independent RIABraintree Capital Partners, LLC unclassifiedOtherJul 3, 2018Feb 13, 2017
Bryan Wilkinson LesterHerbert J. Sims Capital Management, Inc. independent RIAAlpha Capital Management independent RIARIA to RIAApr 23, 2018Aug 7, 2018 (106 d)
Bernard James BraudisHerbert J. Sims Capital Management, Inc. independent RIAGreen Square Capital Advisors asset managerOtherFeb 27, 2018Dec 13, 2018 (289 d)
Corey FrancoHerbert J. Sims Capital Management, Inc. independent RIAHayden Royal otherOtherDec 19, 2016Apr 5, 2017 (107 d)
Walter Edward AuchHerbert J. Sims Capital Management, Inc. independent RIASophis Investments LLC independent RIARIA to RIAJul 28, 2016Jul 9, 2018 (711 d)
Jack ArduinHerbert J. Sims Capital Management, Inc. independent RIASuntrust Investment Services, Inc. otherOtherJun 29, 2016May 31, 2016
Scott DrayerHerbert J. Sims Capital Management, Inc. independent RIAMorgan Stanley wirehouseRIA to wirehouseMar 8, 2011Mar 9, 2011
Paul Philip SaittaHerbert J. Sims Capital Management, Inc. independent RIANeuberger Berman Bd LLC otherOtherMay 18, 2009Nov 19, 2009 (185 d)
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29 moves match.