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 Bny Mellon Securities Corporation

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.

AdvisorFromToTypeLeftRegistered
James Mark PolitoBny Mellon Securities Corporation otherNuveen Asset Management, LLC otherOtherMar 20, 2017Oct 17, 2017 (211 d)
Matthew Benjamin TerryBny Mellon Securities Corporation otherSymmetry Partners otherOtherMar 20, 2017Oct 24, 2017 (218 d)
Adam Wescott GravesBny Mellon Securities Corporation other55ip asset managerOtherMar 20, 2017Nov 14, 2018 (604 d)
Christopher M. CierskiBny Mellon Securities Corporation otherStrategic Advisers LLC national BDOtherMar 2, 2017Mar 30, 2017
Jason D ManiscalcoBny Mellon Securities Corporation otherMorgan Stanley wirehouseOtherFeb 21, 2017Feb 21, 2017
Scott Kirk ShriverBny Mellon Securities Corporation otherMorgan Stanley wirehouseOtherDec 23, 2016Oct 18, 2017 (299 d)
Steven Daniel RaabBny Mellon Securities Corporation otherValic Financial Advisors, Inc. BD affiliatedOtherDec 22, 2016Apr 9, 2018 (473 d)
Troy Charles MaagBny Mellon Securities Corporation otherVoya Investment Management Co. LLC otherOtherDec 21, 2016Mar 27, 2017 (96 d)
Clinton James JonesBny Mellon Securities Corporation otherHartford Funds otherOtherDec 21, 2016Jan 16, 2018 (391 d)
David Vincent BerrettaBny Mellon Securities Corporation otherJanney Montgomery Scott LLC otherOtherApr 21, 2016Apr 21, 2016
Katia FriendBny Mellon Securities Corporation otherSvb Wealth BD affiliatedOtherDec 31, 2015Mar 4, 2024 (2986 d)
Lea Rae LevinesBny Mellon Securities Corporation otherFifth Third Wealth Advisors LLC bank affiliatedOtherDec 31, 2015Feb 14, 2024 (2967 d)
Peter Farnum CulverBny Mellon Securities Corporation otherIwm Advisors, LLC state registeredOtherDec 31, 2015Aug 18, 2021 (2057 d)
Daniel Edward RonanBny Mellon Securities Corporation otherCatalyst Financial Partners no RAUMOtherDec 31, 2015Aug 26, 2021 (2065 d)
Alexander PaluzelliBny Mellon Securities Corporation otherMorgan Stanley wirehouseOtherSep 29, 2015Jul 1, 2016 (276 d)
Cheryl L. CaseyBny Mellon Securities Corporation otherKestra Advisory Services, LLC otherOtherAug 24, 2015Jul 5, 2017 (681 d)
Reny MathewBny Mellon Securities Corporation otherHsbc Securities (USA) Inc. otherOtherJun 24, 2015Jul 15, 2015
Kevin Gerard BettsBny Mellon Securities Corporation otherCapital Client Group, Inc. no RAUMOtherMay 6, 2015May 18, 2015
Justin EpsteinBny Mellon Securities Corporation otherHsbc Securities (USA) Inc. otherOtherMar 16, 2015Apr 15, 2015
Steven BuffardiBny Mellon Securities Corporation otherStrategic Advisers LLC national BDOtherNov 7, 2014Oct 18, 2016 (711 d)
Samuel Thomas SnowBny Mellon Securities Corporation otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherSep 15, 2014Apr 1, 2025 (3851 d)
Neal SienaBny Mellon Securities Corporation otherFederated Securities Corp. no RAUMOtherSep 5, 2014Oct 7, 2014 (32 d)
Ann M McgowanBny Mellon Securities Corporation otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 2, 2014Oct 8, 2014 (36 d)
Joseph Clement CagnazzoBny Mellon Securities Corporation otherMorgan Stanley wirehouseOtherJul 30, 2014May 18, 2016 (658 d)
Hernaldo RiveraBny Mellon Securities Corporation otherYorktown Management And Research Co Inc otherOtherMay 1, 2014Jan 13, 2015 (257 d)
Bao Q LeBny Mellon Securities Corporation otherTd Ameritrade Investment Management, LLC otherOtherApr 8, 2014Jun 2, 2014 (55 d)
Raymond Eugene IfertBny Mellon Securities Corporation otherRei Wealth Management no RAUMOtherApr 3, 2014Nov 4, 2014 (215 d)
Daniel Patrick CroninBny Mellon Securities Corporation otherAnchor Capital Advisors LLC mixed wealthOtherFeb 5, 2014May 9, 2024 (3746 d)
Jose Adrian SanchezBny Mellon Securities Corporation otherTd Ameritrade, Inc. no RAUMOtherDec 2, 2013Mar 11, 2014 (99 d)
Lauren Kathryn MatteoBny Mellon Securities Corporation otherUBS Financial Services Inc. wirehouseOtherNov 8, 2013Feb 11, 2014 (95 d)
Blair Groh EgeBny Mellon Securities Corporation otherCitigroup Global Markets Inc. otherOtherJul 18, 2013Aug 14, 2013
Brett Michael FrumBny Mellon Securities Corporation otherKcd Financial, Inc. independent RIAOtherJun 7, 2013Mar 24, 2026 (4673 d)
John Fremont-SmithBny Mellon Securities Corporation otherCalamos Advisors LLC otherOtherJun 3, 2013Jun 28, 2013
Samuel Wade PerryBny Mellon Securities Corporation otherProtective Wealth Management, LLC no RAUMOtherMar 18, 2013Jun 13, 2013 (87 d)
Adriana T Martinez SarsonBny Mellon Securities Corporation otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 6, 2013Feb 27, 2017 (1482 d)
Kevin GundrumBny Mellon Securities Corporation otherPnc Wealth Management otherOtherDec 4, 2012May 14, 2015 (891 d)
Cheryl Corliss SavageBny Mellon Securities Corporation otherSuntrust Investment Services, Inc. otherOtherDec 4, 2012Aug 2, 2013 (241 d)
Margaret Ann CoxBny Mellon Securities Corporation otherWells Fargo Advisors wirehouseOtherAug 1, 2012May 1, 2019 (2464 d)
David Angel SilvaBny Mellon Securities Corporation otherJanney Montgomery Scott LLC otherOtherJun 22, 2012Jun 22, 2012
Lisa ReddoBny Mellon Securities Corporation otherStrategic Advisers LLC national BDOtherMay 4, 2012Apr 4, 2014 (700 d)
John Michael CafoneBny Mellon Securities Corporation otherChase Investment Services Corp. otherOtherMay 1, 2012May 31, 2012
William M MeyerBny Mellon Securities Corporation otherChase Investment Services Corp. otherOtherFeb 29, 2012Mar 26, 2012
Garrett Mitchell AltonBny Mellon Securities Corporation otherM&T Securities, Inc. unclassifiedOtherFeb 6, 2012Apr 23, 2021 (3364 d)
Byron Thomas ClarkBny Mellon Securities Corporation otherWells Fargo Advisors wirehouseOtherDec 7, 2011Apr 29, 2019 (2700 d)
Damion Jeremy HendricksonBny Mellon Securities Corporation otherHsbc Securities (USA) Inc. otherOtherNov 30, 2011Dec 19, 2011
Joseph Patrick BohenBny Mellon Securities Corporation otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 2, 2011Sep 1, 2011
Lisa Joyce DelisioBny Mellon Securities Corporation otherPwa Wealth Management otherOtherApr 4, 2011May 23, 2011 (49 d)
John Marvin RayBny Mellon Securities Corporation otherBerthel Fisher & Company Financial Services, Inc. otherOtherApr 4, 2011Apr 15, 2011
James David FranskouskyBny Mellon Securities Corporation otherEdward Jones national BDOtherDec 7, 2010Jun 1, 2012 (542 d)
Thomas Henry BirkBny Mellon Securities Corporation otherCredit Suisse Securities (USA) LLC otherOtherNov 12, 2010Apr 19, 2011 (158 d)
William George CasterBny Mellon Securities Corporation otherGfp Private Wealth independent RIAOtherOct 15, 2010May 21, 2024 (4967 d)
Michael BeckerBny Mellon Securities Corporation otherTruist Advisory Services, Inc. otherOtherAug 23, 2010Jan 20, 2017 (2342 d)
Kenneth David SilvermanBny Mellon Securities Corporation otherCetera Investment Advisers LLC BD affiliatedOtherJul 29, 2010Apr 5, 2023 (4633 d)
Martha Romero SchumanBny Mellon Securities Corporation otherCommunity Capital Management, LLC asset managerOtherMay 4, 2010Jun 10, 2020 (3690 d)
James Arvid MarksBny Mellon Securities Corporation otherCitizens Securities, Inc. otherOtherApr 7, 2010Mar 8, 2013 (1066 d)
Stephen Derek JohnsonBny Mellon Securities Corporation otherLighthouse Dreyfus Growth Advisors unclassifiedOtherFeb 26, 2010Apr 11, 2003
Vincent CuomoBny Mellon Securities Corporation otherPursuit Wealth Managment LLC independent RIAOtherDec 31, 2009Aug 10, 2023 (4970 d)
Ralph George PowellBny Mellon Securities Corporation otherAmeriprise Financial Services, LLC national BDOtherNov 4, 2009Oct 30, 2009
Mark Dante MaggioncaldaBny Mellon Securities Corporation otherGirard Advisory Services, LLC independent RIAOtherNov 4, 2009Feb 19, 2026 (5951 d)
Georgette Ribas SuarezBny Mellon Securities Corporation otherTruist Advisory Services, Inc. no RAUMOtherNov 4, 2009Sep 14, 2016 (2506 d)
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208 moves match.