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
Keaton H Hamilton	Deutsche Bank Securities Inc. other	Cerity Partners LLC other	Other	Apr 12, 2012	Dec 2, 2013 (599 d)
Christopher Desantis	Deutsche Bank Securities Inc. other	Strategic Advisers LLC national BD	Other	Mar 15, 2012	Apr 2, 2012
Brooke Erin Sanchez	Deutsche Bank Securities Inc. other	Barclays Capital Inc. other	Other	Mar 9, 2012	Feb 27, 2012
Tony Roscoe Pruitt	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Jan 9, 2012	Dec 13, 2011
Liza Momongan Blundell	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Dec 19, 2011	Mar 14, 2013 (451 d)
Ahsoo Ahn	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Dec 7, 2011	Dec 1, 2011
Gregory V Kanarian	Deutsche Bank Securities Inc. other	Natixis Advisors, LLC other	Other	Nov 28, 2011	Dec 2, 2011
Christopher Todd Chilcoat	Deutsche Bank Securities Inc. other	Hornor, Townsend & Kent, LLC other	Other	Nov 23, 2011	Dec 12, 2011
Victoria Miller Ricker	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Nov 22, 2011	Nov 22, 2011
Jose Baez	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Nov 22, 2011	Apr 20, 2012 (150 d)
Gary Lynn Burgess	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 24, 2011	Jan 6, 2012 (74 d)
John George Uriostegui	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Oct 24, 2011	Oct 14, 2011
Rod Yoshio Nakamoto	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Oct 24, 2011	Oct 17, 2011
Regina Rochelle Monroe	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Oct 24, 2011	Oct 17, 2011
Roberto Ho Chiu	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 21, 2011	Jul 27, 2011
Benjamin Alan Goldberg	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jul 8, 2011	Jul 7, 2011
Brian Lee Richmond	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jul 8, 2011	Jul 7, 2011
Heinz Jaeggi	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Jun 15, 2011	Jun 16, 2011
Stefan Felix Lendi	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Jun 15, 2011	Jun 16, 2011
Christopher Michael Mcgrath	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 3, 2011	Jun 17, 2011
Jordan Daniel Gersch	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	May 31, 2011	May 19, 2011
Robert J Griffin	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 27, 2011	Jun 24, 2011
Nicholas Gus Anthony	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 10, 2011	May 2, 2011
Sonia Magdalena Yearian	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 10, 2011	May 3, 2011
James Eugene Holmes	Deutsche Bank Securities Inc. other	Stephens other	Other	Apr 4, 2011	Mar 11, 2011
Joshua J. Morgan	Deutsche Bank Securities Inc. other	Hsbc Securities (USA) Inc. other	Other	Apr 4, 2011	Apr 8, 2011
R. Matthew Williams Novak	Deutsche Bank Securities Inc. other	Harbor Investment Advisory, LLC other	Other	Feb 24, 2011	Feb 15, 2011
Champe Seabury Andrews	Deutsche Bank Securities Inc. other	Harbor Investment Advisory, LLC other	Other	Feb 8, 2011	Jan 19, 2011
Lisa Michell Howard	Deutsche Bank Securities Inc. other	Harbor Investment Advisory, LLC other	Other	Feb 1, 2011	Jan 19, 2011
Gregory Edward Paranzino	Deutsche Bank Securities Inc. other	Harbor Investment Advisory, LLC other	Other	Feb 1, 2011	Jan 19, 2011
Michael Sztrom	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 7, 2010	Nov 19, 2010
Maya Gorokhovskiy	Deutsche Bank Securities Inc. other	Eagle Strategies LLC other	Other	Nov 12, 2010	Dec 20, 2010 (38 d)
Christopher Michael Stock	Deutsche Bank Securities Inc. other	Parentebeard Wealth Management LLC other	Other	Oct 25, 2010	Jan 27, 2011 (94 d)
Jennifer Kao	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Sep 2, 2010	Sep 20, 2010
M Diane Jefferies Wakefield	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 30, 2010	Nov 3, 2010 (65 d)
Leticia Lamar Perrine	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Aug 24, 2010	Aug 18, 2010
Antoine Nabih Souma	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Aug 13, 2010	Jul 9, 2010
Glenn S Degenaars	Deutsche Bank Securities Inc. other	J.P. Morgan Private Wealth Advisors LLC other	Other	Aug 6, 2010	Aug 13, 2010
Zenia Lisette Delgado	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Aug 4, 2010	Jul 12, 2010
Samuel Robert Morales	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 29, 2010	Jul 12, 2010
Aleksandra Kulmaticki	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jul 22, 2010	Jul 23, 2010
Jamie A Baum	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 9, 2010	May 11, 2011 (306 d)
Charles Kirkland Davis	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jul 1, 2010	Jul 10, 2013 (1105 d)
Cheryl Ann Rudolphi	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 30, 2010	Jul 21, 2010
Alexandra C Allen	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 23, 2010	Jan 30, 2026 (5700 d)
Jeffrey A Deyoung	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Jun 21, 2010	Jun 4, 2010
Jon Eric Bost	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Jun 1, 2010	May 24, 2010
Mark Thomas Cannon	Deutsche Bank Securities Inc. other	RBC Capital Markets, LLC national BD	Other	May 28, 2010	May 21, 2010
Robert Hart Bolling	Deutsche Bank Securities Inc. other	RBC Capital Markets, LLC national BD	Other	May 28, 2010	May 21, 2010
William Allen Webb	Deutsche Bank Securities Inc. other	Alpha Capital Management, LLC other	Other	May 27, 2010	Sep 20, 2010 (116 d)
Andrea B Vice	Deutsche Bank Securities Inc. other	Strategic Advisers LLC national BD	Other	May 26, 2010	Feb 13, 2012 (628 d)
Susan Friedeberg	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 20, 2010	May 25, 2010
Katherine Grace Cordtz	Deutsche Bank Securities Inc. other	Barclays Capital Inc. other	Other	May 11, 2010	Apr 19, 2010
Laura Jarris Martin	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Apr 23, 2010	May 25, 2010 (32 d)
Stephen Alan Colavito	Deutsche Bank Securities Inc. other	Barclays Capital Inc. other	Other	Apr 15, 2010	Apr 5, 2010
Martin Gerard Leclerc	Deutsche Bank Securities Inc. other	Realta Investment Advisors, Inc other	Other	Feb 24, 2010	Oct 11, 2011 (594 d)
Susan Marie Hill	Deutsche Bank Securities Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Feb 22, 2010	Feb 22, 2010
Mark Andrew Pittsey	Deutsche Bank Securities Inc. other	Hsbc Securities (USA) Inc. other	Other	Feb 3, 2010	Jul 20, 2010 (167 d)
Martha Elena Bermudez	Deutsche Bank Securities Inc. other	Hsbc Securities (USA) Inc. other	Other	Dec 18, 2009	Mar 12, 2010 (84 d)
Michael Curtis Mitchell	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Dec 14, 2009	Nov 15, 2016 (2528 d)

Page 4 of 7Previous Next

417 moves match.