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 Aegis Capital Corp.
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 |
|---|---|---|---|---|---|
| Ranjeet Guptara | Aegis Capital Corp. BD affiliated | Sagepoint Capital Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 2, 2026 | May 20, 2026 |
| Brian Mckevitt | Aegis Capital Corp. BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2026 | Apr 14, 2026 |
| Kimberly Ann Barentsen | Aegis Capital Corp. BD affiliated | Barentsen Advisory Services, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 20, 2026 | Jan 1, 2025 |
| Jonathon Webster | Aegis Capital Corp. BD affiliated | Trustmont Advisory Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2026 | Jul 10, 2026 (170 d) |
| Frank Alexander Ballinger | Aegis Capital Corp. BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Oct 16, 2025 |
| Jessica Y Jung | Aegis Capital Corp. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2025 | Jun 3, 2025 |
| Matthew T Stalcup | Aegis Capital Corp. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2025 | Jun 9, 2025 |
| Kevin James Farrow | Aegis Capital Corp. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2025 | Apr 11, 2025 |
| John Albert Oeming | Aegis Capital Corp. BD affiliated | Nw Advisory state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 31, 2025 | Feb 10, 2025 |
| Leslie C Gosule | Aegis Capital Corp. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2025 | Jan 28, 2025 |
| Charles Louis Rosen | Aegis Capital Corp. BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 6, 2025 | Jan 6, 2025 |
| Chad Thomas Brown | Aegis Capital Corp. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 5, 2024 | Dec 4, 2024 |
| Brian William Daly | Aegis Capital Corp. BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2024 | Jul 11, 2024 |
| Adrian Voytelmgum | Aegis Capital Corp. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2024 | Sep 17, 2024 (110 d) |
| Jeff M Abodeely | Aegis Capital Corp. BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 10, 2024 | Aug 1, 2024 (113 d) |
| Eric Newman | Aegis Capital Corp. BD affiliated | Eagle Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2024 | Mar 19, 2020 |
| Pedro Juan Rodriguez Rivera | Aegis Capital Corp. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2024 | Apr 5, 2024 |
| Stephen Todd Walker | Aegis Capital Corp. BD affiliated | Kingswood Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2024 | Feb 29, 2024 |
| George Michael Russell | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Dec 1, 2023 |
| Hemant Pal Singh | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Dec 1, 2023 |
| Kayvan Karoon | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Dec 1, 2023 |
| Nicholas Steven Choman | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Dec 1, 2023 |
| Earl David Hensley | Aegis Capital Corp. BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2023 | Apr 13, 2023 |
| Elizabeth Jane Tavel | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2023 | Feb 19, 2023 |
| Peter Elliot Hirsh | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2023 | Jan 27, 2023 |
| Michael V Catuogno | Aegis Capital Corp. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 17, 2023 | Jun 6, 2023 (109 d) |
| Salvatore Anthony Caruso | Aegis Capital Corp. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 19, 2022 | Dec 15, 2022 |
| Philip R Johnson | Aegis Capital Corp. BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2022 | Nov 16, 2022 |
| Jan Lee Getto | Aegis Capital Corp. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 21, 2022 |
| Jerry Lawrence Goldblum | Aegis Capital Corp. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Oct 19, 2022 | Oct 19, 2022 |
| Jon R Lee | Aegis Capital Corp. BD affiliated | Eagle Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2022 | Jun 8, 2020 |
| Patrick Thomas Donohue | Aegis Capital Corp. BD affiliated | Vanquour LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2022 | Mar 4, 2022 |
| Alan Sorokin | Aegis Capital Corp. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 21, 2022 | Jun 29, 2022 (100 d) |
| Matthew Winthrop | Aegis Capital Corp. BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Feb 1, 2022 | Jan 10, 2022 |
| Eric Scott Strominger | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2021 | Jul 23, 2021 |
| Joseph Anthony Romano | Aegis Capital Corp. BD affiliated | Eagle Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2021 | May 14, 2020 |
| Thomas M Dowling | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2021 | Jun 30, 2021 |
| Craig Richard Margolies | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2021 | May 24, 2021 |
| Matthew Jon Mason | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2021 | May 24, 2021 |
| Anthony Romano | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2021 | May 19, 2021 |
| Richard Harold Wilson | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2021 | May 14, 2021 |
| Daniel Jack Goldschmidt | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2021 | Apr 12, 2021 |
| Dustin Mark Vancott | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2021 | Mar 25, 2021 |
| Rodney Bahy Ibrahim | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2021 | Mar 16, 2021 |
| Prashant Nagindas Mody | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2021 | Feb 9, 2021 |
| Lawrence Thomas Tulenko | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2021 | Jan 21, 2021 |
| Joseph G Whatton | Aegis Capital Corp. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 1, 2020 | Feb 4, 2021 (65 d) |
| Fred Michael Pisculli | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Nov 4, 2020 |
| Jesse Maltzman | Aegis Capital Corp. BD affiliated | Bridgeway Wealth Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Oct 19, 2021 (354 d) |
| Harvey Lee Maclin | Aegis Capital Corp. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Oct 1, 2020 |
| Michael Terrance Mahoney | Aegis Capital Corp. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Oct 1, 2020 |
| Robert Wyla Melberth | Aegis Capital Corp. BD affiliated | Melberth Capital state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 30, 2020 | Jul 22, 2020 |
| Dominick Vincent Pullano | Aegis Capital Corp. BD affiliated | Benchmark Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2020 | Jun 3, 2020 |
| Ajit Singh Ajmani | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2020 | Apr 23, 2020 |
| Lance Allan Moody | Aegis Capital Corp. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2020 | Apr 27, 2020 |
| David Lynn Van Geffen | Aegis Capital Corp. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 25, 2020 | Mar 25, 2020 |
| William E Ward | Aegis Capital Corp. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 25, 2020 | Mar 23, 2020 |
| Andre Mangano | Aegis Capital Corp. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2020 | Feb 12, 2020 |
| Barry A Mills | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2020 | Aug 21, 2020 (212 d) |
| Gerhard Philip Schneider | Aegis Capital Corp. BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 2, 2020 |
Page 1 of 2Next
96 moves match.