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 One Advisors, 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 |
|---|---|---|---|---|---|
| Christopher Keith Wilkinson | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Aug 2, 2019 |
| Kimberly Kay Miller | Capital One Advisors, LLC no RAUM | Kestra Advisory Services, LLC BD affiliated | Other | Aug 1, 2019 | Aug 26, 2019 |
| Stuart Remley Robertson | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Jul 31, 2019 |
| Nicholas George Tsiakilos | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Aug 2, 2019 |
| Matthew J Davis | Capital One Advisors, LLC no RAUM | Fairway Planning state registered | Other | Aug 1, 2019 | Dec 8, 2025 (2321 d) |
| Kelly Lee Ausburn | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Aug 2, 2019 |
| Paul Morgan Hopkins | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Aug 7, 2019 |
| Vince Hacut | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Aug 2, 2019 |
| Phillip Charles Donald | Capital One Advisors, LLC no RAUM | Sharebuilder 401k no RAUM | Other | Aug 1, 2019 | Aug 15, 2019 |
| Neetul K Sharma | Capital One Advisors, LLC no RAUM | Citigroup Global Markets Inc. BD affiliated | Other | Jul 23, 2019 | Jun 2, 2021 (680 d) |
| Cheri Christine Nelson | Capital One Advisors, LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 9, 2019 | Oct 1, 2019 (84 d) |
| Corbin James Lykins | Capital One Advisors, LLC no RAUM | Charles Schwab & Co., Inc. national BD | Other | Jul 8, 2019 | Jul 11, 2019 |
| Bennie Wanda Hargrove | Capital One Advisors, LLC no RAUM | Lincoln Investment BD affiliated | Other | Jun 13, 2019 | Jun 15, 2021 (733 d) |
| John Rhett Garner | Capital One Advisors, LLC no RAUM | Heritage Wealth Management Group, Ltd other | Other | Jun 13, 2019 | Aug 6, 2019 (54 d) |
| Daniel W Glazier | Capital One Advisors, LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Jun 13, 2019 | Aug 15, 2019 (63 d) |
| Nicholas Joseph Gaetani | Capital One Advisors, LLC no RAUM | Mallard Financial Partners Inc independent RIA | Other | Jun 13, 2019 | Mar 13, 2020 (274 d) |
| Jill Marie Zacha | Capital One Advisors, LLC no RAUM | Level Four Advisory Services BD affiliated | Other | May 6, 2019 | May 8, 2019 |
| Kevin Michael Zeller | Capital One Advisors, LLC no RAUM | Navy Federal Investment Services, LLC BD affiliated | Other | Apr 23, 2019 | Apr 24, 2019 |
| Charles Mitchell Fryling | Capital One Advisors, LLC no RAUM | Mallard Advisors independent RIA | Other | Apr 17, 2019 | Apr 15, 2019 |
| Steven Lynn Oneal | Capital One Advisors, LLC no RAUM | Allstate Financial Advisors, LLC BD affiliated | Other | Apr 9, 2019 | Aug 18, 2021 (862 d) |
| Richert John Hart | Capital One Advisors, LLC no RAUM | Nadler Financial Group, Inc. independent RIA | Other | Apr 9, 2019 | Sep 3, 2020 (513 d) |
| Freddie Latron Broadway | Capital One Advisors, LLC no RAUM | Fisher Investments independent RIA | Other | Mar 12, 2019 | Aug 7, 2024 (1975 d) |
| Robert Gilbert | Capital One Advisors, LLC no RAUM | Commonwealth Financial Network national BD | Other | Mar 5, 2019 | Jul 2, 2019 (119 d) |
| Jamie Lynne Williams | Capital One Advisors, LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Feb 14, 2019 | Apr 8, 2019 (53 d) |
| Daniel Foraker | Capital One Advisors, LLC no RAUM | Realta Investment Advisors, Inc BD affiliated | Other | Feb 12, 2019 | Feb 7, 2020 (360 d) |
| Angela Kristen Blythe | Capital One Advisors, LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Feb 12, 2019 | Sep 16, 2019 (216 d) |
| Anupa Ann Philip | Capital One Advisors, LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Feb 12, 2019 | Mar 27, 2019 (43 d) |
| Jason Mcevoy | Capital One Advisors, LLC no RAUM | Janney Montgomery Scott LLC BD affiliated | Other | Feb 12, 2019 | Feb 19, 2019 |
| Patrick Domenic Ricci | Capital One Advisors, LLC no RAUM | Sofi Wealth LLC independent RIA | Other | Feb 12, 2019 | Feb 8, 2021 (727 d) |
| Stephen Clifton | Capital One Advisors, LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Feb 12, 2019 | Mar 8, 2019 |
| Bryant Hayes | Capital One Advisors, LLC no RAUM | Per Stirling Capital Management, LLC independent RIA | Other | Feb 11, 2019 | Feb 28, 2019 |
| Joshua Glenn Clayton | Capital One Advisors, LLC no RAUM | Sofi Wealth LLC independent RIA | Other | Feb 8, 2019 | Aug 4, 2022 (1273 d) |
| Melissa Leah Weeks-Billeg | Capital One Advisors, LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Feb 7, 2019 | Jan 31, 2020 (358 d) |
| Zachary William Robinson | Capital One Advisors, LLC no RAUM | Charles Schwab & Co., Inc. national BD | Other | Jan 29, 2019 | Feb 20, 2019 |
| Michael Abate | Capital One Advisors, LLC no RAUM | World Investment Advisors, LLC BD affiliated | Other | Jan 22, 2019 | Jan 15, 2019 |
| Jonathan Hunter King | Capital One Advisors, LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Dec 11, 2018 | Jan 23, 2019 (43 d) |
| Claudel Demosthene | Capital One Advisors, LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 12, 2018 | Nov 21, 2018 |
| Brian Anthony Monroe | Capital One Advisors, LLC BD affiliated | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2018 | Oct 19, 2018 |
| Keith Zuckerberg | Capital One Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2018 | Sep 24, 2018 |
| Kevin Michael Burke | Capital One Advisors, LLC BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2018 | Jul 15, 2025 (2491 d) |
| Jason J Vaglio | Capital One Advisors, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2018 | Aug 9, 2021 (1055 d) |
| Stacy Ann Wells | Capital One Advisors, LLC BD affiliated | 1st Global Advisors Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2018 | Mar 29, 2019 (191 d) |
| Jeremy D. Jones | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 19, 2018 | Oct 18, 2018 |
| Douglas Weaver | Capital One Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 18, 2018 | Oct 22, 2018 (34 d) |
| Adam Philip Debes | Capital One Advisors, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 17, 2018 | Jan 1, 2025 (2298 d) |
| Ian William Buxbaum | Capital One Advisors, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Sep 17, 2018 | Oct 17, 2018 |
| Christopher William Buckley | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2018 | Nov 11, 2022 (1516 d) |
| Douglas P Geraghty | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2018 | Sep 12, 2018 |
| Barry Elijah Womble | Capital One Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 13, 2018 | Mar 27, 2019 (226 d) |
| Caritas Hurtel Palmisano | Capital One Advisors, LLC BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2018 | Sep 12, 2018 |
| Aileen F Defroda | Capital One Advisors, LLC BD affiliated | Realta Investment Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2018 | Aug 13, 2018 |
| Peter Karl Berneburg | Capital One Advisors, LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2018 | Feb 13, 2019 (190 d) |
| Kristine Erin Wiley | Capital One Advisors, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2018 | Apr 29, 2019 (265 d) |
| Samuel M Reed | Capital One Advisors, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2018 | Jan 3, 2019 (150 d) |
| Arianna Rae Galvin | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2018 | Jul 31, 2018 |
| Christopher John Stief | Capital One Advisors, LLC BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2018 | Aug 14, 2018 |
| Meeshan Antonio Reid | Capital One Advisors, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2018 | Aug 7, 2018 |
| Jose Miguel Herrera | Capital One Advisors, LLC BD affiliated | Brinker Capital Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2018 | Jul 18, 2018 |
| Bill Nick Polizos | Capital One Advisors, LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2018 | Jul 23, 2018 |
| Alberto Salas | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 17, 2018 | Sep 25, 2018 (70 d) |
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294 moves match.