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
Scott Pieter Caputo	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 24, 2015
Thomas Peter Palecek	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	Other	Aug 8, 2015	Jul 27, 2015
Peter Christopher Lee	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	Other	Aug 8, 2015	Jul 24, 2015
John William Scarborough	Barclays Capital Inc. other	Summit Trail Advisors, LLC independent RIA	Other	Aug 8, 2015	Jan 1, 2026 (3799 d)
Steven Lloyd Gottlieb	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 23, 2015
Sean Keene Jamison	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Sep 3, 2015
Katherine Noonan	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Aug 8, 2015	May 21, 2024 (3209 d)
Aaron J. Blumenthal	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Jul 24, 2015
Steven Herbert Teubl	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 8, 2015	Sep 3, 2015
Jonathan Stephen Powell	Barclays Capital Inc. other	Summit Trail Advisors, LLC independent RIA	Other	Aug 8, 2015	Jun 3, 2025 (3587 d)
Marc Israel Karetsky	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 15, 2015
Robert David Bestwick	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 31, 2015	Jul 15, 2015
Sal Rocky Di Ruggiero	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 13, 2015
John Mannix	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 31, 2015	Jul 13, 2015
Cynthia Louise Jaracz	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 14, 2015
Sylvia Herman Gort	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 14, 2015
Kerri Keisler Connellan	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 13, 2015
Christopher Allen Pierce	Barclays Capital Inc. other	Truist Advisory Services, Inc. no RAUM	Other	Jul 31, 2015	Sep 20, 2016 (417 d)
Brian Samuel Schneider	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 13, 2015
Mark Lagratta	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 31, 2015	Jul 13, 2015
Matthew James Pejkovic	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 15, 2015
Bradley Hunter Bass	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 13, 2015
Jesse Clayton Taylor	Barclays Capital Inc. other	Mariner BD affiliated	Other	Jul 31, 2015	Mar 11, 2025 (3511 d)
James Vincent Pucciarelli	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 31, 2015	Jul 13, 2015
William Montgomery Cerf	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 23, 2015	Jul 10, 2015
John Holmes Shaw	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 23, 2015	Jul 10, 2015
Benjamin Paul Johnson	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	Other	Jul 23, 2015	Aug 11, 2016 (385 d)
Roscoe Edward Mellor	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 23, 2015	Jul 10, 2015
Jordan Wayne Baron	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 23, 2015	Jul 10, 2015
Miriamne Alayne Demarrais	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 23, 2015	Jul 10, 2015
Andrew Vincent Cardone	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 21, 2015	Jul 15, 2015
John Dennis Houlihan	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 16, 2015	Jun 28, 2016 (348 d)
Louis Jay Greif	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 16, 2015	Aug 3, 2015
Daniel Lawrence Caso	Barclays Capital Inc. other	Credit Suisse Securities (USA) LLC other	Other	Jul 15, 2015	Jul 1, 2015
Brent Wick	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 15, 2015	Jul 1, 2015
Kenneth David Kline	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 11, 2015
William Joseph Scott	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 12, 2015
Andrew Steven Pritsios	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 11, 2015
Michael A Bono	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 11, 2015
Michelle M. Mayer	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 11, 2015
Peter Lamade	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 26, 2015
Michael Timothy Brodnik	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 10, 2015	Jun 11, 2015
William David Levy	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 7, 2015	Jun 26, 2015
Emily Williford Abernethy	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Oct 7, 2015 (92 d)
Joseph Vincent Parisi	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 7, 2015	Jun 26, 2015
Anupma Mahajan Parks	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 7, 2015	Jun 11, 2015
Cristin S Bera	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Jun 19, 2015
Ryan M Gillin	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 7, 2015	Jun 26, 2015
Tamara Ann Dupont	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Aug 19, 2015 (43 d)
Christopher Wing Dewhurst	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Jun 19, 2015
Edward Fitzgerald Hayes	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jul 7, 2015	Oct 10, 2018 (1191 d)
Robert Justin Frank	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Sep 15, 2015 (70 d)
Walter Schneider	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 7, 2015	Jun 23, 2015
Rosalie Hunter	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 25, 2015	Jun 16, 2015
Dana Matthew Jacobs	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jun 25, 2015	Jun 11, 2015
Timothy Frederick King	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 25, 2015	Jun 16, 2015
William Edward Mccormack	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 25, 2015	Jun 16, 2015
Thomas Francis Jackson	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 25, 2015	Jun 12, 2015
Alan John Vorwald	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jun 25, 2015	Jun 11, 2015
Gordon Levy	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jun 25, 2015	Jun 17, 2015

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384 moves match.