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
Blake Christian WhiteCapital One Advisors, LLC otherInvestment Centers Of America, Inc. otherOtherJul 11, 2017Jul 10, 2017
Daniel J CarrollCapital One Advisors, LLC otherLPL Financial LLC independent RIAOtherJul 11, 2017Dec 21, 2017 (163 d)
Thomas James MudlaffCapital One Advisors, LLC otherUnited Brokerage Services Inc otherOtherJul 5, 2017Dec 11, 2017 (159 d)
Charles Kregg HanowellCapital One Advisors, LLC otherWells Fargo Advisors wirehouseOtherJun 28, 2017Jun 26, 2017
Harlan Dickson HughesCapital One Advisors, LLC otherNewedge Advisors otherOtherJun 26, 2017Jun 26, 2017
Luis Rodriguez RexachCapital One Advisors, LLC otherLPL Financial LLC otherOtherJun 21, 2017Jul 10, 2017
Michael Eugene PalazzoCapital One Advisors, LLC otherWells Fargo Advisors wirehouseOtherJun 8, 2017Jun 5, 2017
Gregorio DominguezCapital One Advisors, LLC otherCitigroup Global Markets Inc. otherOtherMay 30, 2017Jun 2, 2017
Luis Alfredo HernandezCapital One Advisors, LLC otherEdward Jones national BDOtherMay 8, 2017May 5, 2017
Carlos Sergio Torres NegronCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 8, 2017Aug 18, 2017 (102 d)
William Thomas SpencerCapital One Advisors, LLC otherPeople'S Securities, Inc. otherOtherMay 1, 2017Jun 21, 2017 (51 d)
Christian CadenaCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 6, 2017Jun 28, 2017 (83 d)
Patrick Michael RoganCapital One Advisors, LLC otherStrategic Advisers LLC national BDOtherApr 6, 2017May 2, 2017
Danielle Gerise ThibaultCapital One Advisors, LLC otherLPL Financial LLC otherOtherApr 3, 2017Apr 7, 2017
Jose H MonroyCapital One Advisors, LLC otherEdward Jones national BDOtherMar 28, 2017Mar 29, 2017
Salena M. RavedCapital One Advisors, LLC otherMorgan Stanley wirehouseOtherMar 28, 2017Mar 24, 2017
Gifford LeeCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMar 24, 2017May 25, 2017 (62 d)
Loren Arthur HammersbergCapital One Advisors, LLC otherCharles Schwab & Co., Inc. national BDOtherFeb 16, 2017Feb 28, 2017
John Bryan LoyCapital One Advisors, LLC otherEagle Strategies LLC otherOtherJan 18, 2017Mar 23, 2017 (64 d)
Sherrie Lane ReynoldsCapital One Advisors, LLC otherLPL Financial LLC otherOtherDec 22, 2016Apr 19, 2017 (118 d)
Naser M AlzerCapital One Advisors, LLC otherLPL Financial LLC otherOtherDec 13, 2016Dec 12, 2016
Kevin L MatthewsCapital One Advisors, LLC otherCitigroup Global Markets Inc. otherOtherDec 13, 2016Jan 12, 2017
Jack Anthony ForlenzaCapital One Advisors, LLC otherPruco Securities, LLC otherOtherDec 12, 2016Jan 10, 2017
Erez AvidanCapital One Advisors, LLC otherCitigroup Global Markets Inc. otherOtherNov 29, 2016Nov 30, 2016
Ildefonso (Al) CasarezCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherNov 21, 2016Jan 6, 2017 (46 d)
Collin Rene DauteriveCapital One Advisors, LLC otherParish Investment Advisors LLC state registeredOtherNov 15, 2016Nov 15, 2016
Johnathan Reeves GreeneCapital One Advisors, LLC otherD.A. Davidson & Co. otherOtherNov 9, 2016Aug 28, 2017 (292 d)
Frances Young LeeCapital One Advisors, LLC otherSteward Partners Investment Solutions, LLC otherOtherNov 9, 2016Mar 27, 2017 (138 d)
Ronny BendavidCapital One Advisors, LLC otherTd Ameritrade, Inc. no RAUMOtherNov 2, 2016Nov 17, 2016
John MerendinoCapital One Advisors, LLC otherOsaic Institutions, Inc. otherOtherNov 1, 2016Jan 23, 2017 (83 d)
Garrett Willis SilverCapital One Advisors, LLC otherSharebuilder 401k no RAUMOtherOct 18, 2016Sep 30, 2019 (1077 d)
Susana Carolina RoselloCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 27, 2016Nov 8, 2016 (42 d)
William DouglasCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 21, 2016May 31, 2017 (252 d)
Mirko PefaureCapital One Advisors, LLC otherStrategic Advisers LLC national BDOtherSep 15, 2016Oct 26, 2016 (41 d)
David Richard MessinaCapital One Advisors, LLC otherCharles Schwab & Co., Inc. national BDOtherSep 7, 2016Oct 12, 2016 (35 d)
Justin James MorrowCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 19, 2016Aug 29, 2016
Christopher Thomas RuggieroCapital One Advisors, LLC otherB. Riley Wealth Advisors, Inc. otherOtherAug 16, 2016Jan 5, 2017 (142 d)
Maximo Gregorio CentenoCapital One Advisors, LLC otherOsaic Institutions, Inc. otherOtherAug 2, 2016Aug 5, 2016
Daniel J NelsonCapital One Advisors, LLC otherCitigroup Global Markets Inc. otherOtherAug 2, 2016Aug 25, 2017 (388 d)
Sandeep D HamiltonCapital One Advisors, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 29, 2016Oct 31, 2016 (94 d)
Qing YaoCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherJul 27, 2016Aug 4, 2016
Shane MorrisonCapital One Advisors, LLC otherMorgan Stanley wirehouseOtherJul 13, 2016Jul 28, 2016
Keyan Marie CooperCapital One Advisors, LLC otherMorgan Stanley wirehouseOtherJul 12, 2016Aug 11, 2016
Raymond RamosCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherJun 28, 2016Jul 5, 2016
Daniel PollakCapital One Advisors, LLC otherJ.P. Morgan Securities LLC wirehouseOtherJun 24, 2016Jun 27, 2016
Eric James QuenemoenCapital One Advisors, LLC otherWells Fargo Advisors wirehouseOtherJun 23, 2016May 23, 2018 (699 d)
Lars PetersenCapital One Advisors, LLC otherCitigroup Global Markets Inc. BD affiliatedOtherJun 17, 2016Apr 2, 2018 (654 d)
Lyssa Gail TavelCapital One Advisors, LLC otherMorgan Stanley wirehouseOtherMay 16, 2016Sep 12, 2016 (119 d)
Robert Torpy MillerCapital One Advisors, LLC otherSharebuilder 401k no RAUMOtherApr 11, 2016Jul 16, 2019 (1191 d)
Ashley Chaupetta MahnerCapital One Advisors, LLC otherCetera Investment Advisers LLC otherOtherApr 11, 2016Apr 25, 2016
Angela Crist AvantCapital One Advisors, LLC no RAUMLPL Financial LLC otherOtherMar 23, 2016Mar 22, 2016
Benjamin Ross ParkerCapital One Advisors, LLC no RAUMLPL Financial LLC otherOtherMar 23, 2016Mar 22, 2016
Joseph Alan SorrellCapital One Advisors, LLC no RAUMPrincipal Securities, Inc. otherOtherMar 18, 2016Apr 6, 2016
Billy J MitchellCapital One Advisors, LLC no RAUMStratos Wealth Partners, Ltd otherOtherMar 1, 2016Mar 1, 2016
Dawn Sheri WestCapital One Advisors, LLC no RAUMLPL Financial LLC otherOtherFeb 23, 2016Feb 25, 2016
Scott Andrew ValentineCapital One Advisors, LLC no RAUMLPL Financial LLC otherOtherFeb 22, 2016Feb 19, 2016
Edward Hunter ColeCapital One Advisors, LLC no RAUMStratos Wealth Partners, Ltd otherOtherFeb 12, 2016Feb 12, 2016
Tyler M MillerCapital One Advisors, LLC no RAUMPnc Managed Account Solutions, Inc. otherOtherFeb 5, 2016Feb 11, 2016
Sara Jane AndresCapital One Advisors, LLC no RAUMM Holdings Securities, Inc. otherOtherFeb 3, 2016Jun 29, 2017 (512 d)
Daniel R RuizCapital One Advisors, LLC no RAUMNorthwestern Mutual Investment Services,LLC no RAUMOtherFeb 2, 2016May 17, 2016 (105 d)
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294 moves match.