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
Benjamen Charles Fagerlind	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 10, 2009	May 23, 2013 (1260 d)
Herald William Podger	Deutsche Bank Securities Inc. other	RBC Securities, Inc. other	Other	Nov 23, 2009	Feb 26, 2014 (1556 d)
Portia Kathrine Culley	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Aug 5, 2009	Aug 3, 2009
Sarah Bornemann Flaman	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Jul 21, 2009	Sep 24, 2009 (65 d)
Cathy Lynn Williams	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 17, 2009	May 27, 2009
Scott Carlton Olsen	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 17, 2009	May 27, 2009
Raymond Vuicich	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 17, 2009	May 27, 2009
Lawrence Ferber Buckley	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 17, 2009	May 27, 2009
John Paul Shuhda	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Jun 10, 2009	May 19, 2009
Erik Ralston	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Jun 10, 2009	May 19, 2009
Kevin Robert Lynch	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	May 12, 2009	Apr 20, 2009
Jonathan Defreytas	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	May 7, 2009	Apr 17, 2009
Tara Brogan O'Malley	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Apr 30, 2009	Apr 17, 2009
Dawn Marie Carrico	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Apr 30, 2009	Apr 17, 2009
John Felix Kurutz	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Apr 27, 2009	Oct 3, 2011 (889 d)
Charles David Kurtzman	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Apr 9, 2009	Apr 2, 2009
Anthony Louis Celentano	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Apr 9, 2009	Apr 2, 2009
Jamie Michelle Stapf	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Apr 9, 2009	Apr 13, 2009
Christopher Hunter Atlee	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Apr 9, 2009	Apr 6, 2009
Suzanne Marie Rumignani	Deutsche Bank Securities Inc. other	Janney Montgomery Scott LLC other	Other	Apr 9, 2009	Mar 29, 2011 (719 d)
William Lowry Lane	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Apr 9, 2009	Apr 2, 2009
Peter Michael Mott	Deutsche Bank Securities Inc. other	William Blair & Company L.L.C. other	Other	Apr 7, 2009	Apr 28, 2009
Henry Zee Persons	Deutsche Bank Securities Inc. other	Barclays Capital Inc. other	Other	Apr 7, 2009	Apr 17, 2009
Shannon Julia Simar	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Apr 3, 2009	Feb 9, 2023 (5060 d)
Theresa Sharon Durnbaugh	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Apr 1, 2009	Sep 17, 2009 (169 d)
James Whelan Wohlgemuth	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Mar 17, 2009	Apr 2, 2009
Cristina Gabalda	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Mar 17, 2009	Apr 15, 2009
Kathryn Mary Paniagua	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Mar 17, 2009	Mar 6, 2009
Edward Thomas Kennedy	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Mar 16, 2009	Jul 14, 2009 (120 d)
Jonathon Rogers	Deutsche Bank Securities Inc. other	Valic Financial Advisors, Inc. other	Other	Feb 24, 2009	May 20, 2009 (85 d)
Carlos Federico Fuhrmeister	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Feb 19, 2009	Mar 21, 2016 (2587 d)
Joseph Michael Guccione	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Feb 13, 2009	Apr 1, 2013 (1508 d)
Don Persons Wyse	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 29, 2009	Jan 6, 2009
Luis Alfredo Luna	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 29, 2009	Jan 6, 2009
Regina Cathlyn Brucato	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 22, 2009	Jan 6, 2009
David Trent	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 22, 2009	Jan 2, 2009
Jesse Matrix Amarillas	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 22, 2009	Jan 6, 2009
Rene Henriksen	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 22, 2009	Jan 2, 2009
Xuemei Wei	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 22, 2009	Jan 6, 2009
Jason Yaworski	Deutsche Bank Securities Inc. other	Chase Investment Services Corp. other	Other	Jan 14, 2009	Dec 22, 2008
John Joseph Wasilewski	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 9, 2009	Dec 12, 2008
Philip Rowland Church Dudley	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Dec 19, 2008	Dec 23, 2008
Thomas U Dudley	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Dec 19, 2008	Dec 23, 2008
David Kritzer	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 18, 2008	Dec 3, 2008
Rachael Kathe Reeves	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 18, 2008	Dec 17, 2008
Christopher Lewis Castellaw	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 18, 2008	Dec 3, 2008
Bretaigne Elizabeth Black	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 18, 2008	Dec 3, 2008
Mary Rose Rosenquist	Deutsche Bank Securities Inc. other	Hightower Advisors, LLC other	Other	Nov 13, 2008	Jan 6, 2009 (54 d)
Allen Reece	Deutsche Bank Securities Inc. other	Frank & Kraft Wealth Coaching, Inc. unclassified	Other	Nov 13, 2008	Feb 4, 2016 (2639 d)
James Francis Martin	Deutsche Bank Securities Inc. other	Credit Suisse Securities (USA) LLC other	Other	Sep 30, 2008	Sep 8, 2008
Don Dusan Milich	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Aug 22, 2008	Jul 24, 2008
Clifford G. Wang	Deutsche Bank Securities Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Aug 22, 2008	Jul 24, 2008
Christopher Biotti	Deutsche Bank Securities Inc. other	Neuberger Berman Bd LLC other	Other	Jun 18, 2008	Jun 13, 2008
Robin Arthur Monleon	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 13, 2008	Jun 30, 2008
Matthew Joseph Portnoy	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	May 30, 2008	May 5, 2008
Ann Bands Doyle	Deutsche Bank Securities Inc. other	Clearbridge Investments, LLC other	Other	May 30, 2008	Jun 30, 2009 (396 d)
William Jay Oppenheim	Deutsche Bank Securities Inc. other	Oppenheimer & Co. Inc. other	Other	May 29, 2008	May 29, 2008
Joan Elayne Mason	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	May 16, 2008	Apr 18, 2008
Edward Winston Smith	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Mar 26, 2008	Feb 29, 2008
Donna Marie Kelly	Deutsche Bank Securities Inc. other	Janney Montgomery Scott LLC other	Other	Jan 15, 2008	Jan 2, 2014 (2179 d)

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417 moves match.