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
Brian Stephen Sears	Barclays Capital Inc. other	Service Academy Capital Management LLC independent RIA	Other	Nov 4, 2014	Jul 2, 2015 (240 d)
Kevin Douglas Laurie	Barclays Capital Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Oct 30, 2014	May 26, 2021 (2400 d)
Morgan Clarke Mclanahan	Barclays Capital Inc. other	Leucadia Asset Management LLC other	Other	Oct 30, 2014	Oct 17, 2014
John P. Casey	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 30, 2014	Dec 2, 2022 (2955 d)
Brian Matthew Schmidt	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 30, 2014	Jun 28, 2016 (607 d)
Gerald Paul Gallagher	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 2, 2014	Sep 19, 2014
Larry George Roth	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 2, 2014	Sep 22, 2014
Kelly Susan Drinan	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 2, 2014	Sep 25, 2014
Lisa Amster Gorodistian	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 2, 2014	Sep 22, 2014
Michael Thomas Blood	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Oct 2, 2014	Sep 25, 2014
Paul L. Hagen	Barclays Capital Inc. other	Citizens Securities, Inc. other	Other	Sep 8, 2014	Apr 18, 2016 (588 d)
Glen Warren Darby	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 5, 2014	Aug 13, 2014
Barry Alan Pederson	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 5, 2014	Aug 13, 2014
Josenoel Felix Dizon	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 5, 2014	Aug 11, 2014
Matthew Orman Littlefield	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 5, 2014	Aug 11, 2014
Kelly Ann Sabella	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 5, 2014	Aug 11, 2014
Ryan Vincent Murphy	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 5, 2014	Aug 11, 2014
Felix Joaquin Perez-Retes	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Aug 7, 2014	Jul 21, 2014
Brenda Iember Titus	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Aug 7, 2014	Jul 24, 2014
Sergio Vizintas Estefano	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Aug 7, 2014	Jul 17, 2014
Hernan P Korin	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Aug 7, 2014	Jun 14, 2021 (2503 d)
Rafael Angel Martinez	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 9, 2014	Feb 27, 2020 (2059 d)
Michel Cowdery	Barclays Capital Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jun 30, 2014	Aug 14, 2015 (410 d)
Margaux S Williamson	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jun 30, 2014	Jul 22, 2015 (387 d)
Marjorie Santoliquido	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jun 20, 2014	Dec 18, 2014 (181 d)
Sandro Jaime Pestana	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 13, 2014	Jun 2, 2014
Orin Alan Winick	Barclays Capital Inc. other	Aspiriant, LLC other	Other	Jun 13, 2014	Jun 17, 2014
Alondra Robles	Barclays Capital Inc. other	Usca Ria LLC other	Other	Jun 13, 2014	Jun 13, 2014
James Francis Clarke	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 5, 2014	Jun 6, 2014
Alexandra Rueb	Barclays Capital Inc. other	J.P. Morgan Private Wealth Advisors LLC other	Other	Jun 5, 2014	Jun 13, 2014
Kevin Daniel Croken	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 5, 2014	Jun 6, 2014
Marne Altbaum	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	May 27, 2014	May 9, 2014
Frank Leroy Coulson	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	May 27, 2014	May 9, 2014
Sara Pierce Clark	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	May 13, 2014	May 29, 2014
Audra Lynn Mallow	Barclays Capital Inc. other	Composition Wealth, LLC other	Other	May 9, 2014	Oct 21, 2015 (530 d)
Andrew Stuart Leventhal	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	May 2, 2014	Apr 21, 2014
Khashayar Mohammad Atabaki	Barclays Capital Inc. other	Creand Management other	Other	Apr 28, 2014	Apr 28, 2014
Erica Mongello Anastos	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Apr 14, 2014	Mar 9, 2022 (2886 d)
Douglas Michael Quartner	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Apr 4, 2014	Mar 19, 2014
Steven Charles Guggenheimer	Barclays Capital Inc. other	Janney Montgomery Scott LLC other	Other	Mar 28, 2014	Mar 7, 2014
Ileana Delahoz Platt	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Mar 28, 2014	Mar 5, 2014
Odette Aguila-Chacon	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Mar 28, 2014	Mar 5, 2014
George Mina Zaki	Barclays Capital Inc. other	Janney Montgomery Scott LLC other	Other	Mar 28, 2014	Mar 7, 2014
Sandra Lorena Marino	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Mar 14, 2014	Mar 11, 2014
John-Paul Tomassetti	Barclays Capital Inc. other	Citigroup Global Markets Inc. other	Other	Mar 14, 2014	Apr 14, 2014 (31 d)
Tony Esses	Barclays Capital Inc. other	Wells Fargo Advisors wirehouse	Other	Mar 14, 2014	Mar 3, 2014
Rafael Urquidi	Barclays Capital Inc. other	Wells Fargo Advisors wirehouse	Other	Mar 7, 2014	Feb 20, 2014
Christopher James Guttilla	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	Other	Feb 20, 2014	Jun 14, 2021 (2671 d)
Diego De La Lama	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Jan 28, 2014
Diego Canalda	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Feb 6, 2014
Roman Meyerhans	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Feb 4, 2014
Gabriel Jafet	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Feb 18, 2014	Jan 21, 2014
Narciso Munoz	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Jan 28, 2014
Edgar Ramirez	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Feb 4, 2014	Jan 17, 2014
Ruben Dario Lesmes	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Other	Feb 4, 2014	Jan 15, 2014
Romel Reinaldo Rodriguez	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Feb 4, 2014	Jan 22, 2014
Roberto Frazao	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jan 28, 2014	Jun 22, 2021 (2702 d)
Ivan Roberto Palacino	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jan 28, 2014	Feb 4, 2014
Maria-Carmen D Baker	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Jan 28, 2014	Jan 13, 2014
Charles J. Hahn	Barclays Capital Inc. other	Morgan Stanley wirehouse	Other	Dec 24, 2013	Apr 8, 2014 (105 d)

Page 4 of 7Previous Next

384 moves match.