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.

AdvisorFromToTypeLeftRegistered
Jake C RichardCapital One Advisors, LLC BD affiliatedPnc Managed Account Solutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 9, 2018Apr 18, 2018
Jan A GalvezCapital One Advisors, LLC BD affiliatedOppenheimer & Co. Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 6, 2018Apr 12, 2018
Jarriet Burnell BluittCapital One Advisors, LLC BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseApr 6, 2018Sep 10, 2018 (157 d)
John Dominic WrightCapital One Advisors, LLC BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseApr 5, 2018Apr 4, 2018
James Frederick ShaffermanCapital One Advisors, LLC BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherApr 4, 2018Jan 10, 2019 (281 d)
Mark A DegroatCapital One Advisors, LLC BD affiliatedSc&H Wealth independent RIAAffiliated broker-dealer or bank to independent RIAApr 3, 2018Apr 2, 2018
Jason Z. GopenCapital One Advisors, LLC BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseApr 2, 2018Apr 6, 2018
David Francis VittCapital One Advisors, LLC BD affiliatedUnited Brokerage Services Inc independent RIAAffiliated broker-dealer or bank to independent RIAMar 30, 2018Mar 28, 2018
Alexander BezuglyCapital One Advisors, LLC BD affiliatedLPL Financial LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 30, 2018Apr 2, 2018
Jesus A PompaCapital One Advisors, LLC BD affiliated1st Global Advisors Inc otherOtherMar 30, 2018Apr 4, 2018
Safet MusovicCapital One Advisors, LLC otherLPL Financial LLC independent RIAOtherMar 28, 2018Apr 2, 2018
Brett Michael DalessandroCapital One Advisors, LLC otherCetera Investment Advisers LLC BD affiliatedOtherMar 28, 2018Apr 9, 2018
Jeffrey Scott LeavellCapital One Advisors, LLC otherLPL Financial LLC independent RIAOtherMar 27, 2018Mar 22, 2018
Matthew JohnsonCapital One Advisors, LLC otherLPL Financial LLC independent RIAOtherMar 27, 2018Mar 22, 2018
Christopher Neil WilliamsCapital One Advisors, LLC otherUnited Brokerage Services Inc independent RIAOtherMar 26, 2018Mar 27, 2018
Ali MozaffarCapital One Advisors, LLC otherUnited Brokerage Services Inc otherOtherMar 26, 2018Mar 26, 2018
Dylan John BurdickCapital One Advisors, LLC otherCapital Client Group, Inc. no RAUMOtherMar 26, 2018Jul 12, 2023 (1934 d)
Omid Heidar SanieCapital One Advisors, LLC otherUnited Brokerage Services Inc otherOtherMar 26, 2018Mar 26, 2018
Ghazi NweiranCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 20, 2018Mar 26, 2018
Andrew R. JohnsonCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 19, 2018Mar 29, 2018
William Blake BridgesCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 16, 2018Apr 3, 2018
Jeffrey Robert SeewaldCapital One Advisors, LLC otherLPL Financial LLC independent RIAOtherMar 13, 2018Mar 13, 2018
Shermicker Sheree GallowayCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 9, 2018Apr 1, 2018
Inezjustine Refugio AznarCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 7, 2018Mar 8, 2018
Preston ChristianCapital One Advisors, LLC otherHancock Whitney Investment Services Inc. otherOtherMar 7, 2018Mar 15, 2018
Jason Joseph TarrCapital One Advisors, LLC otherKey Investment Services LLC BD affiliatedOtherMar 6, 2018Mar 6, 2018
Adam Perry GreeneCapital One Advisors, LLC otherVoya Financial Advisors, Inc. otherOtherMar 6, 2018Mar 14, 2018
Marcus MinskyCapital One Advisors, LLC otherSofi Wealth LLC independent RIAOtherMar 6, 2018Jan 8, 2020 (673 d)
Christopher Geddy HillCapital One Advisors, LLC otherCherry Bekaert Wealth Management LLC independent RIAOtherFeb 26, 2018Mar 12, 2018
Vincent Thomas MaimoneCapital One Advisors, LLC otherVanguard Advisers, Inc. otherOtherFeb 26, 2018Mar 5, 2018
Jordan GreenbergCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherFeb 26, 2018Apr 2, 2018 (35 d)
Kemon Decorey NealCapital One Advisors, LLC otherE*Trade Capital Management, LLC independent RIAOtherFeb 13, 2018Feb 21, 2018
Rashawn Monica PerryCapital One Advisors, LLC otherMorgan Stanley wirehouseOtherFeb 5, 2018Jun 16, 2021 (1227 d)
Matthew James FordCapital One Advisors, LLC otherProspera Financial Services, Inc. otherOtherFeb 1, 2018Feb 12, 2018
Catherine Alexandra VigenCapital One Advisors, LLC otherCharles Schwab & Co., Inc. national BDOtherFeb 1, 2018Apr 3, 2018 (61 d)
Steven Robert BrownCapital One Advisors, LLC otherLPL Financial LLC independent RIAOtherJan 26, 2018Jan 18, 2018
Richard GronskeCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 25, 2018Sep 4, 2018 (222 d)
Peter FinerCapital One Advisors, LLC otherPgim Investments LLC asset managerOtherJan 16, 2018Apr 2, 2018 (76 d)
Thadius BeaversCapital One Advisors, LLC otherE*Trade Capital Management, LLC otherOtherJan 9, 2018Jan 8, 2018
Christopher LawsonCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 2, 2018Jun 8, 2018 (157 d)
Christopher GerrardCapital One Advisors, LLC otherEquitable Advisors, LLC national BDOtherDec 19, 2017Dec 19, 2017
Philip Alain MonnierCapital One Advisors, LLC otherPnc Wealth Management BD affiliatedOtherDec 14, 2017Jan 23, 2018 (40 d)
Richard Vernon WelchCapital One Advisors, LLC otherEmpower Advisory Group, LLC BD affiliatedOtherDec 4, 2017Nov 17, 2025 (2905 d)
Anthony SalviCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherNov 29, 2017Dec 12, 2017
Mark Steven RitvalskiCapital One Advisors, LLC otherCharles Schwab & Co., Inc. national BDOtherOct 11, 2017Oct 16, 2017
Cristina MontenegroCapital One Advisors, LLC otherEdward Jones national BDOtherOct 10, 2017Dec 11, 2017 (62 d)
Adrian James SparksCapital One Advisors, LLC otherWells Fargo Advisors wirehouseOtherSep 27, 2017Sep 25, 2017
James Alex DawesCapital One Advisors, LLC otherFrost Investment Services otherOtherSep 25, 2017Oct 2, 2017
Sammy C. ChangCapital One Advisors, LLC otherCitigroup Global Markets Inc. otherOtherSep 25, 2017Sep 25, 2017
Giuseppe GigliottiCapital One Advisors, LLC otherWells Fargo Advisors wirehouseOtherSep 20, 2017Sep 5, 2017
Keith LockwoodCapital One Advisors, LLC otherMorgan Stanley wirehouseOtherSep 8, 2017Apr 8, 2019 (577 d)
Damian Kerry ReillyCapital One Advisors, LLC otherInvest Financial Corporation otherOtherAug 30, 2017Aug 28, 2017
Joseph Michael ScuttsCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 30, 2017Sep 22, 2017
Glen David AmasonCapital One Advisors, LLC otherFisher Investments otherOtherAug 15, 2017Sep 20, 2017 (36 d)
Daniel Aaron FriedmanCapital One Advisors, LLC otherPrincipal Securities, Inc. otherOtherAug 15, 2017Nov 22, 2017 (99 d)
Angel MarkelCapital One Advisors, LLC otherCharles Schwab & Co., Inc. national BDOtherAug 2, 2017Nov 9, 2017 (99 d)
Wouter StokmanCapital One Advisors, LLC otherEdward Jones national BDOtherJul 18, 2017Jul 21, 2017
Russell G BakerCapital One Advisors, LLC otherEdward Jones national BDOtherJul 18, 2017Jul 21, 2017
Charles WurdackCapital One Advisors, LLC otherAmeriprise Financial Services, LLC national BDOtherJul 12, 2017Nov 21, 2018 (497 d)
John G AhlersCapital One Advisors, LLC otherRussell Investments asset managerOtherJul 11, 2017Apr 30, 2018 (293 d)
Page 3 of 5PreviousNext
294 moves match.