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
John Howard Maierhofer	Deutsche Bank Securities Inc. other	Arate Capital LLC unclassified	Other	Feb 5, 2004	Jun 21, 2004 (137 d)
Glenn C Bannan	Deutsche Bank Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Dec 31, 2003	Nov 5, 2008 (1771 d)
Catherine Ann Playford	Deutsche Bank Securities Inc. other	Morgan Stanley wirehouse	Other	Oct 6, 2003	Mar 27, 2012 (3095 d)
Manesha Lakhiani	Deutsche Bank Securities Inc. other	Pgim Investments LLC other	Other	Sep 5, 2003	Nov 7, 2003 (63 d)
Thomas Nelson Thibeault	Deutsche Bank Securities Inc. other	Mount Vernon Associates Inc other	Other	Jul 24, 2003	Nov 11, 2003 (110 d)
Gail Lynn Tencer	Deutsche Bank Securities Inc. other	Morgan Keegan & Company, LLC other	Other	Jul 14, 2003	Apr 15, 2004 (276 d)
Shawn Fitzgerald O'Neill	Deutsche Bank Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Jul 14, 2003	Jul 3, 2003
James John Solano	Deutsche Bank Securities Inc. other	G Capital Advisors, LLC unclassified	Other	Jun 12, 2003	May 28, 2009 (2177 d)
Hayley Lane Davis	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jun 10, 2003	Jun 6, 2003
Sean Matthew O'Neill	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 14, 2003	Feb 4, 2003
William Merrick Semans	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 29, 2003	Jan 17, 2003
Travis Dean Regier	Deutsche Bank Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Jan 27, 2003	Jan 20, 2004 (358 d)
Kenneth Neil Haas	Deutsche Bank Securities Inc. other	Wells Fargo Investments, LLC unclassified	Other	Jan 23, 2003	Apr 11, 2003 (78 d)
Kelly Thomas Goalby	Deutsche Bank Securities Inc. other	Geneva Advisors, LLC other	Other	Jan 23, 2003	Jan 24, 2003
Jennifer Dacey Viglucci	Deutsche Bank Securities Inc. other	Brown Advisory Securities, LLC unclassified	Other	Jan 14, 2003	Jan 8, 2003
David Paul Brown	Deutsche Bank Securities Inc. other	Brown Advisory Securities, LLC unclassified	Other	Jan 8, 2003	Jan 2, 2003
Walter Michael Crowell	Deutsche Bank Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Dec 31, 2002	Apr 2, 2003 (92 d)
Joshua Shute	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 4, 2002	Feb 26, 2009 (2276 d)
Alan Richard Joyce	Deutsche Bank Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	Dec 3, 2002	Nov 19, 2003 (351 d)
Perry Steele Bacon	Deutsche Bank Securities Inc. other	Brown Advisory Securities, LLC unclassified	Other	Dec 3, 2002	Nov 20, 2002
Christopher Scott O'Grady	Deutsche Bank Securities Inc. other	Dakota Investments, LLC no RAUM	Other	Dec 3, 2002	Jan 4, 2018 (5511 d)
James Bruce Whelihan	Deutsche Bank Securities Inc. other	Brown Advisory Securities, LLC unclassified	Other	Dec 3, 2002	Nov 22, 2002
Douglas Geoffrey John	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Nov 26, 2002	Nov 8, 2002
Cindy Ann Pepple	Deutsche Bank Securities Inc. other	Brown Advisory Securities, LLC unclassified	Other	Nov 26, 2002	Dec 3, 2002
John Thomas Elmes	Deutsche Bank Securities Inc. other	Gfo Advisory Services, LLC other	Other	Nov 21, 2002	Nov 12, 2003 (356 d)
Richard Emerson Armiger	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Oct 31, 2002	Oct 18, 2002
Kevin Scott Monaco	Deutsche Bank Securities Inc. other	Cibc World Markets Corp. unclassified	Other	Oct 30, 2002	Oct 15, 2002
Peter Alan Rosenberg	Deutsche Bank Securities Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Oct 30, 2002	Nov 11, 2002
Michael Edwin Crossley	Deutsche Bank Securities Inc. other	Legg Mason Wood Walker, Incorporated unclassified	Other	Oct 16, 2002	Oct 1, 2002
John David Lytle	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 10, 2002	Sep 30, 2002
Robert Donald Askew	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 10, 2002	Sep 30, 2002
Michael Patrick Reyes	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 10, 2002	Sep 30, 2002
Luther Kirkpatrick Wiles	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 10, 2002	Sep 30, 2002
Huntley Gibson Davenport	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 4, 2002	Aug 28, 2002
Louis Walsh	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 4, 2002	Aug 28, 2002
Kevin Matthew Fearnow	Deutsche Bank Securities Inc. other	Banc Of America Investment Services, Inc. unclassified	Other	Sep 4, 2002	Sep 9, 2002
Franklin Russell Beard	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 4, 2002	Aug 28, 2002
James Scott Chandler	Deutsche Bank Securities Inc. other	Banc Of America Investment Services, Inc. unclassified	Other	Aug 26, 2002	Jun 25, 2003 (303 d)
Charles Russell Ward	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Aug 26, 2002	Aug 28, 2002
Richard Neil Gardner	Deutsche Bank Securities Inc. other	New England Securities Corporation other	Other	Aug 12, 2002	Dec 20, 2002 (130 d)
Michael Paul Warren	Deutsche Bank Securities Inc. other	Proshare Advisors LLC other	Other	Aug 12, 2002	Mar 28, 2013 (3881 d)
Daniel R Levene	Deutsche Bank Securities Inc. other	Jhs Capital Advisors, LLC other	Other	Aug 6, 2002	Aug 9, 2005 (1099 d)
John Menton Webster	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Aug 6, 2002	Aug 28, 2002
John Edward Gunther	Deutsche Bank Securities Inc. other	Cibc World Markets Corp. unclassified	Other	Aug 6, 2002	Aug 30, 2002
Mark William Namvary	Deutsche Bank Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 31, 2002	Jul 19, 2002
Robert Earle Laubach	Deutsche Bank Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 31, 2002	Jul 25, 2002
Timothy L Baker	Deutsche Bank Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	Jul 31, 2002	Jul 30, 2002
Gaye Clarke Lampert	Deutsche Bank Securities Inc. other	Pgim Investments LLC other	Other	Jul 12, 2002	Sep 5, 2002 (55 d)
David Lanshe	Deutsche Bank Securities Inc. other	Truist Securities, Inc. unclassified	Other	Jul 11, 2002	Jul 1, 2002
Bruce Randall Arnett	Deutsche Bank Securities Inc. other	Truist Securities, Inc. unclassified	Other	Jul 11, 2002	Jul 1, 2002
Frederic Morse Bryant	Deutsche Bank Securities Inc. other	Janney Montgomery Scott LLC other	Other	Jul 3, 2002	Dec 16, 2004 (897 d)
Peter Wade Bacon	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jul 3, 2002	Jun 28, 2002
William Augustine Boykin	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jul 2, 2002	Jun 21, 2002
Collin Larry Rigler	Deutsche Bank Securities Inc. other	Leucadia Asset Management LLC other	Other	Jul 2, 2002	Jul 25, 2003 (388 d)
David Jerome Frank	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	Jun 20, 2002	Jul 2, 2002
Quyen My Chung	Deutsche Bank Securities Inc. other	Citigroup Global Markets Inc. other	Other	May 23, 2002	Jun 12, 2002
Mark Joseph Doyle	Deutsche Bank Securities Inc. other	Raymond James Financial Services, Inc. unclassified	Other	May 16, 2002	Jun 18, 2002 (33 d)

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417 moves match.