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 |
|---|---|---|---|---|---|
| Jonathan Edward Fonash | Capital One Advisors, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2018 | Jul 2, 2018 |
| Stacy Hawkins | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 25, 2018 | Nov 30, 2018 (158 d) |
| Uriel Batista | Capital One Advisors, LLC BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jun 15, 2018 | May 30, 2018 |
| Elizabeth Mata Ramirez | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 15, 2018 | Jun 15, 2018 |
| John Brewster Stevens | Capital One Advisors, LLC BD affiliated | United Brokerage Services Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2018 | Mar 7, 2019 (276 d) |
| Robert Augustson | Capital One Advisors, LLC BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Jun 4, 2018 | Jul 5, 2018 (31 d) |
| Charlie Davee | Capital One Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 22, 2018 | Jun 1, 2018 |
| Nicholas Andrew Sehr | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 14, 2018 | May 24, 2018 |
| Teofilo Rojas | Capital One Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2018 | Aug 17, 2021 (1191 d) |
| Antonio Ignarra | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 8, 2018 | Aug 20, 2018 (104 d) |
| Frank Jacob Hegr | Capital One Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 8, 2018 | Jul 6, 2018 (59 d) |
| Thomas Joseph Polito | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2018 | Apr 24, 2018 |
| Jun Michael Tang | Capital One Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2018 | Jun 28, 2018 (52 d) |
| Joshua Edgardo Torres | Capital One Advisors, LLC BD affiliated | Hancock Whitney Investment Services Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2018 | May 3, 2018 |
| William J Dunbar | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 7, 2018 | May 3, 2018 |
| Dominic Stilletti | Capital One Advisors, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 3, 2018 | Jul 26, 2021 (1180 d) |
| Isaiah N Johnson | Capital One Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2018 | Jul 27, 2018 (85 d) |
| John Esko Delamater | Capital One Advisors, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | Jun 13, 2018 (41 d) |
| George Anthony Vera | Capital One Advisors, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | Jun 25, 2018 (53 d) |
| Jennifer Robbins | Capital One Advisors, LLC BD affiliated | Swbc Investment Company independent RIA | Affiliated broker-dealer or bank to independent RIA | May 3, 2018 | Jun 5, 2018 (33 d) |
| Henry Manuel Nunez | Capital One Advisors, LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | Jan 10, 2019 (252 d) |
| Gregory Allan Corso | Capital One Advisors, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | May 8, 2018 |
| Cooper William Mcgregor | Capital One Advisors, LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | May 3, 2018 | Jul 25, 2022 (1544 d) |
| Sebastian Bulfamante | Capital One Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2018 | Aug 3, 2021 (1188 d) |
| Joel Donald Marks | Capital One Advisors, LLC BD affiliated | Cuna Brokerage Services, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Jun 6, 2018 (35 d) |
| Themba Magagula | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Apr 30, 2018 |
| Rupal Mahesh Jhaveri | Capital One Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2018 | Jan 9, 2019 (252 d) |
| John T. Lafata | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 2, 2018 | May 2, 2018 |
| Catherine Aglipay | Capital One Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 2, 2018 | Jun 6, 2018 (35 d) |
| Becker Aleman | Capital One Advisors, LLC BD affiliated | Newedge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | Sep 25, 2018 (146 d) |
| Jason Anthony Licata | Capital One Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 2, 2018 | Aug 5, 2019 (460 d) |
| John William Holmes | Capital One Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 2, 2018 | May 15, 2018 |
| Michael Lewis Pritchard | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 | May 1, 2018 |
| Mollie Becker Taylor | Capital One Advisors, LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 2, 2018 | Apr 30, 2018 |
| Jimmy Lourenco | Capital One Advisors, LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 2, 2018 | Jun 15, 2018 (44 d) |
| Byron Graham Moore | Capital One Advisors, LLC BD affiliated | Realta Investment Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2018 | May 16, 2018 |
| Paul Kuleska | Capital One Advisors, LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2018 | May 8, 2018 |
| Christopher Scott Morris | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2018 | Apr 24, 2018 |
| Jeff Michael Doan | Capital One Advisors, LLC BD affiliated | Craft Wealth Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2018 | Apr 30, 2018 |
| Simon Whitaker | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 24, 2018 | Apr 27, 2018 |
| Thomas Galiger | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 24, 2018 | Apr 24, 2018 |
| Anthony Raimondo | Capital One Advisors, LLC BD affiliated | Blackrock Investment Management, LLC other | Other | Apr 24, 2018 | May 11, 2018 |
| Elizabeth Lesar | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2018 | Apr 24, 2018 |
| Tracy Clark | Capital One Advisors, LLC BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2018 | Apr 23, 2018 |
| Shuron Morton | Capital One Advisors, LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2018 | May 23, 2018 |
| Candice Lee Gilman | Capital One Advisors, LLC BD affiliated | Realta Investment Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2018 | Sep 6, 2018 (136 d) |
| Jacob Rawlings | Capital One Advisors, LLC BD affiliated | Campbell Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2018 | Jul 24, 2018 (92 d) |
| Kristin Victoria Persad | Capital One Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 23, 2018 | Aug 17, 2021 (1212 d) |
| Luke Dominic Podbury | Capital One Advisors, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 23, 2018 | Jun 5, 2018 (43 d) |
| Falina Ann Mendenall | Capital One Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 20, 2018 | Apr 17, 2018 |
| Hugh Clay Johnson | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2018 | May 2, 2018 |
| Panagiotis Peter Ermogenous | Capital One Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2018 | Apr 16, 2018 |
| Peter J Costa | Capital One Advisors, LLC BD affiliated | Santander Securities BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2018 | Mar 19, 2021 (1068 d) |
| Daniel Stuart Cook | Capital One Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2018 | Apr 16, 2018 |
| John Christian Scala | Capital One Advisors, LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2018 | Apr 16, 2018 |
| Robert Matthew Meredith | Capital One Advisors, LLC BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2018 | Apr 27, 2018 |
| Michael J Morrow | Capital One Advisors, LLC BD affiliated | M&T Securities, Inc. unclassified | Other | Apr 10, 2018 | Apr 27, 2018 |
| James Robert Quigley | Capital One Advisors, LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2018 | Apr 30, 2018 |
| Justin Ryan Ledbetter | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2018 | Apr 13, 2018 |
| Charles Kenneth Aubert | Capital One Advisors, LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2018 | Apr 13, 2018 |
294 moves match.