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.

AdvisorFromToTypeLeftRegistered
Sanford Elliott SteinbergAegis Capital Corp. BD affiliatedA.G.P / Alliance Global Partners independent RIAAffiliated broker-dealer or bank to independent RIAOct 25, 2019Oct 4, 2019
Brian David RockowitzAegis Capital Corp. BD affiliatedMadison Global Advisors LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 23, 2019Aug 15, 2019
Andrew George GergatsoulisAegis Capital Corp. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseMay 23, 2019Jun 18, 2019
Alexander Vlad YelenskyAegis Capital Corp. BD affiliatedA.G.P / Alliance Global Partners BD affiliatedAffiliated broker-dealer or bank to anotherMay 23, 2019May 2, 2019
Jean-Matthieu JosseAegis Capital Corp. BD affiliatedA.G.P / Alliance Global Partners independent RIAAffiliated broker-dealer or bank to independent RIANov 9, 2018Nov 2, 2018
Moss Jason PlaineAegis Capital Corp. BD affiliatedA.G.P / Alliance Global Partners independent RIAAffiliated broker-dealer or bank to independent RIAOct 15, 2018Sep 28, 2018
Joseph BarberaAegis Capital Corp. BD affiliatedEquitable Advisors, LLC national BDAffiliated broker-dealer or bank to anotherOct 3, 2018Sep 27, 2019 (359 d)
David Stewart SilbergAegis Capital Corp. BD affiliatedMillennial Advisers, LLC. independent RIAAffiliated broker-dealer or bank to independent RIAAug 16, 2018Jul 20, 2018
Freddie Martinez ArroyoAegis Capital Corp. BD affiliatedMML Investors Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherAug 10, 2018Oct 6, 2020 (788 d)
Tyler Jordan AresAegis Capital Corp. BD affiliatedJoseph Gunnar & Co., LLC otherOtherJul 12, 2018Jul 12, 2018
Philip William MichalsAegis Capital Corp. BD affiliatedA.G.P / Alliance Global Partners otherOtherMar 7, 2018Mar 6, 2018
James Vincenzo LombardoAegis Capital Corp. BD affiliatedB. Riley Wealth Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 6, 2018Mar 12, 2018
Kevin Robert SmithAegis Capital Corp. BD affiliatedB. Riley Wealth Advisors, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherMar 6, 2018Mar 14, 2018
Jorge BravoAegis Capital Corp. BD affiliatedNpa Asset Management, LLC otherOtherMar 2, 2018Mar 13, 2018
Luis Alejandro CasaresmaduroAegis Capital Corp. BD affiliatedNpa Asset Management, LLC otherOtherMar 2, 2018Mar 13, 2018
Miguel Andres PascualAegis Capital Corp. BD affiliatedNpa Asset Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 2, 2018Mar 27, 2018
Scott RatajczakAegis Capital Corp. otherSantander Securities otherOtherDec 22, 2017Dec 26, 2017
Javier Enrique Pascual ImbertAegis Capital Corp. otherCetera Investment Advisers LLC BD affiliatedOtherDec 20, 2017Apr 30, 2018 (131 d)
Robert S ChapmanAegis Capital Corp. otherQuadstar Capital Advisors, Inc. unclassifiedOtherOct 25, 2017Jan 21, 2011
Robert Wade LapietraAegis Capital Corp. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 20, 2017Nov 9, 2017
Trevor T TaylorAegis Capital Corp. otherGlobal Financial Private Capital, Inc. otherOtherJun 15, 2017Jun 20, 2017
Antonio Salvador BauzaAegis Capital Corp. otherStonecrest Advisors, Inc. mixed wealthOtherMay 5, 2017Aug 11, 2017 (98 d)
Thomas M DowlingAegis Capital Corp. otherFsc Securities Corporation otherOtherMar 16, 2017Mar 15, 2017
David Lawrence KanenAegis Capital Corp. otherKanen Wealth Management LLC independent RIAOtherAug 18, 2016Mar 23, 2016
Scott Douglas SamuelsAegis Capital Corp. otherSpartan Capital Private Wealth Management LLC state registeredOtherAug 10, 2016Jul 13, 2018 (702 d)
John Anthony NoleAegis Capital Corp. otherPaulson Investment Advisors, LLC unclassifiedOtherJul 29, 2016Apr 2, 2020 (1343 d)
Teofilo RojasAegis Capital Corp. otherCapital One Advisors, LLC otherOtherJul 29, 2016Oct 3, 2016 (66 d)
Bradley Gatewood GeiseAegis Capital Corp. otherVoya Financial Advisors, Inc. otherOtherFeb 22, 2016Apr 13, 2016 (51 d)
Christopher James GatschAegis Capital Corp. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 9, 2014Mar 7, 2016 (454 d)
Stephen M DigennaroAegis Capital Corp. otherBenchmark Advisory Services, LLC independent RIAOtherOct 9, 2013Mar 2, 2022 (3066 d)
Elizabeth Anne NewmanAegis Capital Corp. otherValic Financial Advisors, Inc. otherOtherMay 2, 2013May 1, 2013
Joseph R TedeschiAegis Capital Corp. otherTsa Management Inc otherOtherOct 18, 2012May 11, 2017 (1666 d)
Dennis Walter SinghAegis Capital Corp. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 22, 2010Jan 11, 2011
Brian RobertsonAegis Capital Corp. otherLaidlaw Wealth Management LLC independent RIAOtherNov 16, 2010Jan 3, 2011 (48 d)
Joshua Robert BargAegis Capital Corp. otherB. Riley Wealth Advisors, Inc. otherOtherApr 13, 2009Apr 8, 2009
Matthew Bruce SchechnerAegis Capital Corp. otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherApr 6, 2009Jun 23, 2021 (4461 d)
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96 moves match.