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 Barclays Capital Inc.

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
Aixa Rosado	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Dec 28, 2015	Aug 2, 2017 (583 d)
James Patrick Knox	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Dec 28, 2015	Aug 25, 2016 (241 d)
Roberto C Irias	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Dec 28, 2015	Aug 28, 2018 (974 d)
Christopher Adam Farish	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 16, 2015	Dec 11, 2015
Teresa Leigh Drummond	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 15, 2015	Jul 8, 2016 (206 d)
Daniel F Thompson	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 15, 2015	May 6, 2016 (143 d)
John P O'Neil	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 15, 2015	Dec 16, 2015
Scott Taylor Sheffer	Barclays Capital Inc. other	The Strategic Financial Alliance other	Other	Dec 15, 2015	Aug 18, 2017 (612 d)
Enrique Petrie	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 15, 2015	Dec 18, 2015
Marylin Milagro Gonzalez	Barclays Capital Inc. other	Suntrust Investment Services, Inc. other	Other	Dec 15, 2015	Oct 24, 2016 (314 d)
Emily L Parker	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 15, 2015	Jan 9, 2018 (756 d)
Nicholas Steven Shane	Barclays Capital Inc. other	Valic Financial Advisors, Inc. other	Other	Dec 15, 2015	Dec 16, 2015
Harris Evan Mandel	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Dec 15, 2015	Dec 18, 2015
Frank Debenedittis	Barclays Capital Inc. other	Deutsche Bank Securities Inc. BD affiliated	Other	Dec 15, 2015	Apr 26, 2021 (1959 d)
Chase Wright Landreth	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 10, 2015	Dec 7, 2015
Daren P O'Connor	Barclays Capital Inc. other	Citigroup Global Markets Inc. other	Other	Nov 25, 2015	Apr 4, 2016 (131 d)
Magdalena Johndrow	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 20, 2015	Nov 4, 2015
Joshua Thomas Crossman	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 12, 2015	Oct 26, 2015
Kevin Connors Mccooey	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 12, 2015	Oct 30, 2015
John Edward Koecheler	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 12, 2015	Oct 30, 2015
Eric Tyler Vaughn	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 12, 2015	Oct 30, 2015
Ginny Rae Neal	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 12, 2015	Oct 26, 2015
David Francis Manci	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Nov 6, 2015	Oct 20, 2015
Lawrence William Cummings	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Oct 29, 2015	Oct 12, 2015
Clifford G. Wang	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Oct 29, 2015	Oct 12, 2015
Jerome D Lucas	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	Other	Oct 22, 2015	Oct 9, 2015
Michael Charles Cohen	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	Other	Oct 22, 2015	Oct 9, 2015
Peter C. Gambee	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	Other	Oct 22, 2015	Oct 12, 2015
Megan Sclafani Vacca	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	Other	Oct 22, 2015	Oct 12, 2015
Mark Ian Leyton	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Oct 14, 2015	Sep 12, 2016 (334 d)
Brooke Erin Sanchez	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Oct 14, 2015	Jun 23, 2017 (618 d)
John Zachary Shillingford	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Oct 14, 2015	Sep 12, 2016 (334 d)
Kathryn L Parker	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Oct 14, 2015	Mar 13, 2017 (516 d)
Christopher Allan Gillette	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 7, 2015	Sep 21, 2015
James F Fitzgerald	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 7, 2015	Sep 21, 2015
Joshua C Davis	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 7, 2015	Sep 21, 2015
Christine G Yerganian	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 7, 2015	Sep 21, 2015
John J Lenehan	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 7, 2015	Sep 21, 2015
Adam Jason Riegelhaupt	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Sep 30, 2015	Dec 22, 2015 (83 d)
Joseph Dursi	Barclays Capital Inc. other	Dynasty Wealth Management, LLC other	Other	Sep 10, 2015	Jun 5, 2017 (634 d)
Robert M Pacicco	Barclays Capital Inc. other	Blackrock Investment Management, LLC other	Other	Sep 10, 2015	Mar 27, 2017 (564 d)
Jill Marie Borges	Barclays Capital Inc. other	Blackrock Investment Management, LLC other	Other	Sep 10, 2015	Oct 16, 2015 (36 d)
Daniela Pedley	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	Other	Aug 25, 2015	Aug 17, 2015
Miguel Angel Quinones	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Aug 25, 2015	Nov 28, 2017 (826 d)
Lauren Sardina Cosulich	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	Other	Aug 25, 2015	Oct 14, 2015 (50 d)
Teresa Marie Devereux	Barclays Capital Inc. other	William Blair & Company L.L.C. other	Other	Aug 19, 2015	Sep 11, 2015
Jonathan L Mann	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Aug 6, 2015
Rajan Arora	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Aug 6, 2015
Brian Lewis Mcdonough	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Sep 9, 2015
Christoph James Kaess	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Sep 9, 2015
Elizabeth A Sullivan	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Sep 11, 2015
Max Myers	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Sep 4, 2015
Marissa Gaspari	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 19, 2015	Jul 15, 2015
John Thomas Bates	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 24, 2015
Jack Barry Petersen	Barclays Capital Inc. other	Summit Trail Advisors, LLC independent RIA	Other	Aug 8, 2015	Jul 29, 2021 (2182 d)
James Joseph Ertmann	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 21, 2015
Richard Jason Hutton	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 23, 2015
Danielle Patricia Mchugh	Barclays Capital Inc. other	Summit Trail Advisors, LLC independent RIA	Other	Aug 8, 2015	Jul 27, 2021 (2180 d)
Joseph W. Shenton	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	Other	Aug 8, 2015	Aug 10, 2015
Benjamin Stephen Foster	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 21, 2015

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384 moves match.