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 Analysts

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
William John Roth	Capital Analysts other	LPL Financial LLC other	Other	Sep 16, 2013	Sep 17, 2013
Jason Thomas Laird	Capital Analysts other	Blackrock Investment Management, LLC other	Other	Jul 19, 2013	Aug 15, 2013
Sean Michael Cook	Capital Analysts other	Commonwealth Financial Network national BD	Other	May 16, 2013	May 16, 2013
Sean Riley Eldred	Capital Analysts other	First Allied Advisory Services, Inc. other	Other	Mar 12, 2013	Jan 2, 2013
Jaemin Jasmine Sim	Capital Analysts other	Securities America Advisors, Inc. other	Other	Feb 15, 2013	Jun 13, 2013 (118 d)
Pamela Heidi Friedman	Capital Analysts other	Silicon Hills Wealth Management other	Other	Feb 7, 2013	Feb 6, 2013
Trisha Lynn Fountain	Capital Analysts other	UBS Financial Services Inc. wirehouse	Other	Feb 4, 2013	Apr 14, 2014 (434 d)
Victor Simon	Capital Analysts other	First Allied Advisory Services, Inc. other	Other	Jan 10, 2013	Jan 2, 2013
Joseph A Catanzarite	Capital Analysts other	Harbour Investments, Inc. other	Other	Dec 5, 2012	Nov 9, 2012
Peter William Crimmins	Capital Analysts other	Geneos Wealth Management, Inc. other	Other	Dec 4, 2012	Dec 12, 2012
Jeffrey Randall Wiyninger	Capital Analysts other	Independent Financial Group, LLC other	Other	Jul 10, 2012	Jul 12, 2012

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371 moves match.