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 Deutsche Bank Securities 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
Mariana Foerster	Deutsche Bank Securities Inc. other	Loyola Asset Management LLC other	Other	Aug 3, 2016	Aug 5, 2016
Francine Marie Porter	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 18, 2016	Sep 15, 2016 (59 d)
Stephen Edward Brady	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 18, 2016	Jul 18, 2016
Richard Edwin Barron	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 6, 2016	Jun 9, 2016
Craig A Hall	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	May 23, 2016	Jul 11, 2016 (49 d)
Brian Thomas Kelley	Deutsche Bank Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Mar 23, 2016	Oct 16, 2020 (1668 d)
David Charles Heger	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Mar 14, 2016	Apr 13, 2016
Mallory Danielle Jacob	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 11, 2016	Mar 28, 2016
John Michael Tonzola	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Mar 2, 2016	Feb 12, 2016
Dagmara Katarzyna Frankowska	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 3, 2016	Jan 9, 2017 (341 d)
Stephen Richard Cordill	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 2, 2016	Jan 28, 2016
John Tomas Mccauley	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Feb 1, 2016	Jan 20, 2016
Victor Raymond Storck	Deutsche Bank Securities Inc. other	D.A. Davidson & Co. other	Other	Jan 28, 2016	Feb 12, 2016
Michael Carlisle Dawson	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 22, 2015	Dec 22, 2015
Cody A Barrick	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 20, 2015	Nov 30, 2015
Marci Porter Lucier	Deutsche Bank Securities Inc. other	Shp Wealth Management, LLC independent RIA	Other	Nov 20, 2015	Apr 27, 2021 (1985 d)
Louis Green	Deutsche Bank Securities Inc. other	Allegiant Wealth Planning LLC unclassified	Other	Jul 10, 2015	Apr 23, 2020 (1749 d)
David Joseph La Placa	Deutsche Bank Securities Inc. other	Intellectus Partners, LLC no RAUM	Other	Jul 9, 2015	Jun 26, 2015
Thomas Edgar Casey	Deutsche Bank Securities Inc. other	Intellectus Partners, LLC no RAUM	Other	Jul 9, 2015	Jun 26, 2015
Tina Ching Chan	Deutsche Bank Securities Inc. other	Intellectus Partners, LLC no RAUM	Other	Jul 9, 2015	Jun 29, 2015
Kelly Paul Morton	Deutsche Bank Securities Inc. other	Intellectus Partners, LLC no RAUM	Other	Jul 9, 2015	Jun 29, 2015
Stephanie Lynn Ayer	Deutsche Bank Securities Inc. other	LPL Financial LLC other	Other	Jun 9, 2015	Jun 4, 2015
Rajiv Shah	Deutsche Bank Securities Inc. other	Next Financial Group, Inc. other	Other	Jun 8, 2015	Jul 10, 2017 (763 d)
Joseph R Kemka	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 29, 2015	Jun 22, 2015
Jeffrey Jon Tompkins	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 8, 2015	Mar 23, 2015
Patricia Marie Oconnor	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 8, 2015	Mar 23, 2015
Jason W Wolter	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Mar 31, 2015	Mar 6, 2015
Kenneth George Gustaitis	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Mar 31, 2015	Mar 6, 2015
Veronica Estrada Dibble	Deutsche Bank Securities Inc. other	Goodwin Investment Advisory independent RIA	Other	Mar 25, 2015	Apr 14, 2026 (4038 d)
Robert Charles Daum	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 27, 2015	Nov 29, 2016 (641 d)
Gregory Syler	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 25, 2015	Mar 2, 2015
Alexandro Ampudia Tommasi	Deutsche Bank Securities Inc. other	Mora Capital Management, LLC other	Other	Feb 18, 2015	Mar 4, 2015
Alexander Hixon Flagg	Deutsche Bank Securities Inc. other	Sentry Advisors, LLC no RAUM	Other	Feb 10, 2015	Mar 23, 2015 (41 d)
Gregory Sutton Powell	Deutsche Bank Securities Inc. other	Sentry Advisors, LLC no RAUM	Other	Feb 10, 2015	Feb 19, 2015
Angela Lew	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Feb 10, 2015	Feb 27, 2015
Elizabeth A Ly	Deutsche Bank Securities Inc. other	Sentry Advisors, LLC no RAUM	Other	Feb 10, 2015	Feb 19, 2015
Susanna L Han	Deutsche Bank Securities Inc. other	Sentry Advisors, LLC no RAUM	Other	Feb 10, 2015	Feb 19, 2015
Leanne Marie Drayton	Deutsche Bank Securities Inc. other	Commonwealth Financial Network national BD	Other	Jan 15, 2015	Jan 12, 2015
David Picton Suttles	Deutsche Bank Securities Inc. other	Pnc Managed Account Solutions, Inc. other	Other	Nov 5, 2014	Dec 16, 2014 (41 d)
William Roger Rassman	Deutsche Bank Securities Inc. other	Nfp Advisor Services, LLC other	Other	Oct 28, 2014	Nov 4, 2014
Brian Douglas Mcgregor	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 7, 2014	Oct 2, 2014
Lynn Vincent Elliott	Deutsche Bank Securities Inc. other	Fortiter Wealth Management, LLC no RAUM	Other	Sep 17, 2014	Sep 4, 2014
Shannon Leigh Mccue	Deutsche Bank Securities Inc. other	Mycio Wealth Partners, LLC other	Other	Sep 17, 2014	Aug 30, 2016 (713 d)
Benjamin Albert Pace	Deutsche Bank Securities Inc. other	Baja Wealth Advisors LLC other	Other	Aug 20, 2014	Aug 12, 2021 (2549 d)
David D Jumper	Deutsche Bank Securities Inc. other	Cerity Partners LLC independent RIA	Other	Aug 19, 2014	Nov 22, 2021 (2652 d)
Brian Michael Brady	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Aug 18, 2014	Jul 5, 2016 (687 d)
Thomas Hargrove	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Aug 1, 2014	Jul 11, 2014
Timothy Smith Jones	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 25, 2014	Jul 14, 2014
Roy N Apple	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 18, 2014	Jun 13, 2014
Anthony William Rizzo	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 18, 2014	Jun 13, 2014
Jeremy Scott Schneider	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 18, 2014	Jun 13, 2014
Elaine Israel	Deutsche Bank Securities Inc. other	Oppenheimer & Co. Inc. other	Other	Jul 17, 2014	Aug 7, 2014
Steven A Kurosko	Deutsche Bank Securities Inc. other	Cerity Partners LLC independent RIA	Other	Jul 16, 2014	Jan 26, 2026 (4212 d)
Kevin Michael Gai	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 14, 2014	Jun 16, 2014
Lauren Ashley Stuhmer	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 11, 2014	Jun 16, 2014
Michelle Wada	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 9, 2014	Oct 8, 2014 (91 d)
Christopher S Jensen	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 19, 2014	Jun 19, 2014
Gregory Edward Barr	Deutsche Bank Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	May 28, 2014	Jul 25, 2014 (58 d)
Shay W Scruggs	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	May 13, 2014	May 2, 2014
Horace H Smith	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 6, 2014	Apr 10, 2014

Page 2 of 7Previous Next

417 moves match.