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
Paul Vincent Saltaformaggio	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Jan 27, 2016	Jan 26, 2016
Jonathan Franz Smith	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Jan 27, 2016	Jan 26, 2016
Jonathan Gallashaw	Capital One Advisors, LLC no RAUM	Advice And Planning Services other	Other	Jan 25, 2016	Feb 2, 2016
Paul Pursley	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Jan 22, 2016	Jan 21, 2016
Heather Michelle Hennigh	Capital One Advisors, LLC no RAUM	Cetera Investment Advisers LLC other	Other	Jan 11, 2016	Jan 8, 2016
Victor David Maldonado	Capital One Advisors, LLC no RAUM	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Other	Jan 7, 2016	Oct 19, 2016 (286 d)
Jeffrey Dazzo	Capital One Advisors, LLC no RAUM	Cuna Brokerage Services, Inc. other	Other	Dec 21, 2015	Jan 5, 2017 (381 d)
Michael Lieberman	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Dec 21, 2015	Dec 17, 2015
Sandor Mihaly Takacs	Capital One Advisors, LLC no RAUM	Wells Fargo Advisors wirehouse	Other	Dec 21, 2015	Dec 18, 2015
Cynthia Christenberry Moll	Capital One Advisors, LLC no RAUM	Ameriprise Financial Services, LLC national BD	Other	Dec 16, 2015	Jun 13, 2016 (180 d)
Rose Lynn Perrilloux	Capital One Advisors, LLC no RAUM	Raymond James & Associates, Inc. national BD	Other	Dec 16, 2015	Apr 28, 2016 (134 d)
Brett Matthew Hains	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Dec 16, 2015	Dec 15, 2015
Michelle Ann Betancourt	Capital One Advisors, LLC no RAUM	Edward Jones national BD	Other	Dec 16, 2015	Feb 13, 2017 (425 d)
Michael Lance Mayeux	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Dec 15, 2015	Dec 10, 2015
Judin Pierre Louis	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. other	Other	Dec 8, 2015	Dec 10, 2015
Ryan Rene Gill	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Dec 4, 2015	Dec 3, 2015
Brandon Joseph Leblanc	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Dec 3, 2015	Dec 2, 2015
Casey Lee Wayne Roberson	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Dec 3, 2015	Dec 2, 2015
Troy Matthew Toups	Capital One Advisors, LLC no RAUM	Newedge Advisors other	Other	Nov 18, 2015	Nov 18, 2015
Steven Wade Fanguy	Capital One Advisors, LLC no RAUM	Newedge Advisors other	Other	Nov 18, 2015	Nov 18, 2015
Royan Ramkissoon	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. BD affiliated	Other	Nov 17, 2015	Aug 17, 2021 (2100 d)
William Claiborne Perrilliat	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Nov 13, 2015	Nov 11, 2015
Stephen Joseph Kernion	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Nov 13, 2015	Nov 11, 2015
Linda Lee Ledzian	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Nov 5, 2015	Nov 3, 2015
Timothy O Shaw	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. other	Other	Oct 27, 2015	Oct 29, 2015
Clay Parker Kearney	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Sep 15, 2015	Sep 15, 2015
Roy Golding Spinks Jr.	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Other	Sep 15, 2015	Sep 9, 2015
Jeff Claude Bonhomme	Capital One Advisors, LLC no RAUM	Pnc Wealth Management other	Other	Aug 31, 2015	Dec 9, 2015 (100 d)
Jeffrey Strittmatter	Capital One Advisors, LLC no RAUM	Cetera Investment Advisers LLC other	Other	Aug 18, 2015	Aug 18, 2015
Katarina Stein	Capital One Advisors, LLC no RAUM	Charles Schwab & Co., Inc. national BD	Other	Aug 11, 2015	Sep 1, 2015
Daniel Kertz	Capital One Advisors, LLC no RAUM	Edward Jones national BD	Other	Aug 10, 2015	Sep 20, 2017 (772 d)
Robert Louis Van Erem	Capital One Advisors, LLC no RAUM	Pnc Managed Account Solutions, Inc. other	Other	Aug 7, 2015	Aug 21, 2015
Gregory Bertram Coverdale	Capital One Advisors, LLC no RAUM	Wall St LLC state registered	Other	Aug 4, 2015	Jan 24, 2020 (1634 d)
Annelise Chayka	Capital One Advisors, LLC no RAUM	Osaic Fa, Inc. other	Other	Jul 1, 2015	Jul 5, 2016 (370 d)
Gregory Scott Anderson	Capital One Advisors, LLC no RAUM	Edward Jones national BD	Other	Jun 30, 2015	Jul 13, 2015
William De La Vergne St Paul	Capital One Advisors, LLC no RAUM	Hancock Whitney Investment Services Inc. other	Other	Jun 11, 2015	Jun 18, 2015
John Delaney Foster	Capital One Advisors, LLC no RAUM	Cetera Investment Advisers LLC other	Other	Jun 5, 2015	Jun 3, 2015
Todd Sherman Gautreaux	Capital One Advisors, LLC no RAUM	Cetera Investment Advisers LLC other	Other	Jun 5, 2015	Jun 1, 2015
Calvin Geeyoung Lem	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. BD affiliated	Other	Jun 4, 2015	Aug 17, 2021 (2266 d)
Frank Joseph Romano	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. BD affiliated	Other	Jun 4, 2015	Aug 17, 2021 (2266 d)
Melanie Kristin Allen	Capital One Advisors, LLC no RAUM	Principal Securities, Inc. BD affiliated	Other	May 18, 2015	May 20, 2025 (3655 d)
Mark Lawrence Tunkel	Capital One Advisors, LLC no RAUM	Santander Securities other	Other	May 4, 2015	May 15, 2015
Malcolm Bradley Cain	Capital One Advisors, LLC no RAUM	Cetera Investment Advisers LLC other	Other	Apr 28, 2015	May 7, 2015
Dewayne Ladon Ellis	Capital One Advisors, LLC no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 27, 2015	Mar 13, 2015
Daniel Seghi	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. other	Other	Feb 27, 2015	Mar 2, 2015
Alexander Daniel Tantleff	Capital One Advisors, LLC no RAUM	J.P. Morgan Securities LLC wirehouse	Other	Feb 20, 2015	Feb 23, 2015
David Y Skurowitz	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. BD affiliated	Other	Feb 20, 2015	Aug 17, 2021 (2370 d)
Shelley Harris Moncrief	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Other	Feb 5, 2015	Jan 29, 2015
Annelise Chayka	Capital One Advisors, LLC no RAUM	Capital One Financial Advisors LLC unclassified	Other	Nov 6, 2014	Oct 20, 2014
Thomas Aaron Bakamus	Capital One Advisors, LLC no RAUM	Russell Investments other	Other	Apr 17, 2014	Apr 28, 2014
Parker S Gordon	Capital One Advisors, LLC no RAUM	Strategic Advisers LLC national BD	Other	Jun 10, 2013	Jun 25, 2013
Colby Gaston-Cysewski	Capital One Advisors, LLC no RAUM	Charles Schwab & Co., Inc. national BD	Other	Mar 19, 2013	Apr 30, 2013 (42 d)
Curtis Warner	Capital One Advisors, LLC no RAUM	Fidelity Personal And Workplace Advisors BD affiliated	Other	Aug 6, 2009	Dec 17, 2021 (4516 d)
Timothy Ryan Boyle	Capital One Advisors, LLC no RAUM	Strategic Advisers LLC national BD	Other	Feb 27, 2007	Apr 13, 2007 (45 d)

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294 moves match.