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 Frost Investment Services

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
Taylor A ChamnessFrost Investment Services BD affiliatedWela Financial Advisory independent RIAAffiliated broker-dealer or bank to independent RIAApr 13, 2022Mar 24, 2022
Richard Carl PreciousFrost Investment Services BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseApr 12, 2022Apr 11, 2022
Jhubin MoghaddamfarFrost Investment Services BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseApr 11, 2022Apr 29, 2022
Carlos Tijerina JrFrost Investment Services BD affiliatedPnc Wealth Management BD affiliatedAffiliated broker-dealer or bank to anotherMar 24, 2022Apr 6, 2022
Arturo InigoFrost Investment Services BD affiliatedAmerant Investments, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIAFeb 17, 2022Mar 24, 2022 (35 d)
Stephen Ross SpearsFrost Investment Services BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherDec 31, 2021Jul 10, 2024 (922 d)
Neha B SmithFrost Investment Services BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseDec 31, 2021Jan 17, 2023 (382 d)
Sharon Elaine BerryFrost Investment Services BD affiliatedIsc Advisors, Inc. mixed wealthAffiliated broker-dealer or bank to independent RIADec 3, 2021Dec 7, 2021
Stacey Vincent-FloresFrost Investment Services BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherOct 20, 2021Oct 18, 2021
Brent A YoungFrost Investment Services BD affiliatedTolleson Private Wealth Management mixed wealthAffiliated broker-dealer or bank to independent RIASep 9, 2021Sep 21, 2021
Frank Walter SullivanFrost Investment Services BD affiliatedFirst Command Advisory Services BD affiliatedAffiliated broker-dealer or bank to anotherJul 9, 2021Aug 20, 2021 (42 d)
Norma Adame RodriguezFrost Investment Services BD affiliatedForvis Mazars Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAApr 28, 2021Apr 18, 2025 (1451 d)
Connie Pina CastilloFrost Investment Services BD affiliatedCapital Client Group, Inc. no RAUMOtherApr 7, 2021Mar 18, 2024 (1076 d)
Eric Ryan BremerFrost Investment Services BD affiliatedCitigroup Global Markets Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 16, 2020Dec 14, 2020
Eric M. AldapeFrost Investment Services BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseSep 1, 2020Sep 22, 2020
Matthew HowieFrost Investment Services BD affiliatedThe Broughton Investment Group, Inc. state registeredAffiliated broker-dealer or bank to a state-registered adviserAug 18, 2020Jan 27, 2021 (162 d)
Shamarr T. PrenticeFrost Investment Services BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseJun 29, 2020Jul 24, 2023 (1120 d)
Mark Andrew GuajardoFrost Investment Services BD affiliatedRaymond James Financial Services Advisors, Inc BD affiliatedAffiliated broker-dealer or bank to anotherJun 15, 2020Jul 8, 2020
Shaun Marshall TaylorFrost Investment Services BD affiliatedCentric Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 30, 2020Apr 8, 2020
Monica StanleyFrost Investment Services BD affiliatedPm Squared Financial unclassifiedOtherMar 2, 2020Mar 19, 2020
Drew Bradley NormanFrost Investment Services BD affiliatedUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseFeb 10, 2020Feb 25, 2020
Katherine Elizabeth JaskiniaFrost Investment Services BD affiliatedForvis Mazars Wealth Advisors, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 29, 2019Apr 22, 2021 (633 d)
Michael Joseph CochranFrost Investment Services BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherJun 6, 2019Aug 8, 2019 (63 d)
Brian F La RoccaFrost Investment Services BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseFeb 26, 2019Feb 25, 2019
Michael Wilson AllenFrost Investment Services BD affiliatedTd Ameritrade, Inc. no RAUMOtherFeb 19, 2019Mar 6, 2019
James Alex DawesFrost Investment Services BD affiliatedAdvice And Planning Services BD affiliatedAffiliated broker-dealer or bank to anotherJan 31, 2019Oct 10, 2019 (252 d)
Victoria Elizabeth De OliveiraFrost Investment Services BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseJan 28, 2019May 10, 2019 (102 d)
Raul ValenciaFrost Investment Services BD affiliatedPnc Managed Account Solutions, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 3, 2018Dec 14, 2018
Mohammad HameedFrost Investment Services BD affiliatedPrimerica Advisors national BDAffiliated broker-dealer or bank to anotherAug 21, 2018Oct 4, 2019 (409 d)
Erin Melissa Finley LeeFrost Investment Services BD affiliatedBok Financial Advisors BD affiliatedAffiliated broker-dealer or bank to anotherAug 20, 2018May 7, 2025 (2452 d)
Luis Felipe CastilloFrost Investment Services otherPnc Managed Account Solutions, Inc. BD affiliatedOtherFeb 23, 2018Mar 30, 2018 (35 d)
Veronica De La RosaFrost Investment Services otherLPL Financial LLC independent RIAOtherJan 29, 2018Jan 26, 2018
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92 moves match.