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 Scottrade Investment Management
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 |
|---|---|---|---|---|---|
| Michael Hermann | Scottrade Investment Management BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Apr 7, 2018 | Jan 31, 2018 |
| Thomas Gross | Scottrade Investment Management BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Jan 3, 2019 (276 d) |
| Blane Anthony Wright | Scottrade Investment Management BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 2, 2018 | May 2, 2018 |
| Maurizio Debellis | Scottrade Investment Management BD affiliated | Bny Mellon Securities Corporation BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Oct 5, 2018 (186 d) |
| Tri D Nguyen | Scottrade Investment Management BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Dec 18, 2018 (260 d) |
| Eugene George Zrinyi | Scottrade Investment Management BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Apr 16, 2018 |
| Rebecca Lynn Hensley | Scottrade Investment Management BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2018 | Apr 2, 2018 |
| Lindsay Elizabeth Olsen | Scottrade Investment Management BD affiliated | Waddell & Reed BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2018 | May 2, 2018 |
| Adam Bimslager | Scottrade Investment Management BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Jul 3, 2019 (457 d) |
| Luke Aaron Andreassen | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 2, 2018 | Jun 22, 2018 (81 d) |
| Eryn Nicole Holder | Scottrade Investment Management BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 2, 2018 | May 10, 2018 (38 d) |
| Nathaniel Francescato | Scottrade Investment Management BD affiliated | Townsend independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2018 | Jan 10, 2020 (648 d) |
| Blake Woodward Nystrom | Scottrade Investment Management BD affiliated | First Trust Advisors LP asset manager | Other | Apr 2, 2018 | Dec 10, 2018 (252 d) |
| Eliran Assaraf | Scottrade Investment Management BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 2, 2018 | Jun 18, 2018 (77 d) |
| Michael Gorokhovsky | Scottrade Investment Management BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Mar 24, 2018 | Mar 19, 2018 |
| Adam Matthew Greene | Scottrade Investment Management BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2018 | Mar 20, 2018 |
| Heather Bronson | Scottrade Investment Management BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2018 | Mar 21, 2018 |
| Kyle Jordan Ladd | Scottrade Investment Management BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2018 | Mar 15, 2018 |
| Abhay R. Nair | Scottrade Investment Management BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Mar 14, 2018 | Mar 14, 2018 |
| Roy E Mcclung | Scottrade Investment Management BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2018 | Mar 19, 2018 |
| Sonya Lydon Logan | Scottrade Investment Management BD affiliated | Td Ameritrade, Inc. no RAUM | Other | Mar 13, 2018 | Mar 13, 2018 |
| Matthew Fiss | Scottrade Investment Management BD affiliated | Td Ameritrade Investment Management, LLC other | Other | Mar 13, 2018 | Oct 15, 2017 |
| Jacob G Versteeg | Scottrade Investment Management BD affiliated | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2018 | Mar 12, 2018 |
| Susan Mara Berchak | Scottrade Investment Management BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jan 30, 2019 (327 d) |
| Richard D Albright | Scottrade Investment Management BD affiliated | Empower Advisory Group, LLC institutional | Other | Mar 9, 2018 | Jun 21, 2018 (104 d) |
| Javier Guztavo Orozco | Scottrade Investment Management BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 12, 2018 (95 d) |
| James Richard Harkins | Scottrade Investment Management BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Nov 27, 2023 (2089 d) |
| Andrew Peter O'Connor | Scottrade Investment Management BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 6, 2018 |
| Mary Elizabeth Mcowen | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jun 12, 2018 (95 d) |
| Bradford William Richardson | Scottrade Investment Management BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Oct 23, 2018 (228 d) |
| Carolyn Cole Smith | Scottrade Investment Management BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Feb 13, 2019 (341 d) |
| Christopher Luke Weiss | Scottrade Investment Management BD affiliated | Keenan Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Oct 23, 2018 (228 d) |
| John Christopher Cannella | Scottrade Investment Management BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jul 2, 2018 (115 d) |
| Christian Franz Rausch | Scottrade Investment Management BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Nov 12, 2019 (613 d) |
| Joseph Michael Harton | Scottrade Investment Management BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 4, 2018 |
| Richard Liebchen | Scottrade Investment Management BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Oct 4, 2018 (209 d) |
| Brian Eugene Campos | Scottrade Investment Management BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jan 15, 2020 (677 d) |
| James Edward Phelps | Scottrade Investment Management BD affiliated | Saxony Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Jul 23, 2018 (136 d) |
| George Anderson Craig | Scottrade Investment Management BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Oct 1, 2018 (206 d) |
| Sei Il Im | Scottrade Investment Management BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Apr 8, 2019 (395 d) |
| Jonathan Pope | Scottrade Investment Management BD affiliated | Woodbridge Advisors unclassified | Other | Mar 9, 2018 | Apr 28, 2018 (50 d) |
| David L Bailey | Scottrade Investment Management BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 14, 2018 |
| Pamela Calhoun | Scottrade Investment Management BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 10, 2018 (32 d) |
| Stephon Denell Pieters | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Nov 9, 2018 (245 d) |
| Galen G Jang | Scottrade Investment Management BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Sep 27, 2019 (567 d) |
| Frank Javier Hurtado | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Feb 27, 2020 (720 d) |
| Brian Christopher Snowden | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Aug 30, 2019 (539 d) |
| Mark-Vincent Castro Morales | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | May 1, 2023 (1879 d) |
| Evelyn Rhines | Scottrade Investment Management BD affiliated | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Mar 23, 2018 |
| Syed Zafar Majid | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 17, 2018 (69 d) |
| Ken Zhang | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 8, 2018 (60 d) |
| James Robert Richards | Scottrade Investment Management BD affiliated | Bmo Harris Financial Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jul 30, 2018 (143 d) |
| Thomas R Bette | Scottrade Investment Management BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | Jun 12, 2018 (95 d) |
| Adil Ramzan Ali | Scottrade Investment Management BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Oct 31, 2019 (601 d) |
| Christian A Schick | Scottrade Investment Management BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Dec 10, 2022 (1737 d) |
| Adam J Berman | Scottrade Investment Management BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2018 | May 4, 2018 (56 d) |
| Matthew Paul Muckler | Scottrade Investment Management BD affiliated | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Aug 13, 2018 (157 d) |
| Jarad Byram Mitchell | Scottrade Investment Management BD affiliated | Saxony Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2018 | Jan 23, 2019 (320 d) |
| Rebecca Jean Ruvolo | Scottrade Investment Management BD affiliated | Voya Financial Advisors, Inc. other | Other | Mar 9, 2018 | Mar 15, 2018 |
| John R Frank | Scottrade Investment Management BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 16, 2019 (403 d) |
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440 moves match.