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 Neuberger Berman Bd LLC

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
Alfred Z AvazisNeuberger Berman Bd LLC otherCharles Schwab & Co., Inc. national BDOtherJan 18, 2011Aug 5, 2011 (199 d)
Brian Stephen SearsNeuberger Berman Bd LLC otherBarclays Capital Inc. otherOtherSep 14, 2010Sep 9, 2010
Eric Campbell SutherlandNeuberger Berman Bd LLC otherJ.P. Morgan Securities LLC wirehouseOtherAug 31, 2010Aug 27, 2010
Bryan Eugene QuinnNeuberger Berman Bd LLC otherCitigroup Global Markets Inc. otherOtherAug 25, 2010Aug 23, 2010
Michael Kenneth KorzenkoNeuberger Berman Bd LLC otherAdvisors Asset Management, Inc. otherOtherAug 25, 2010Aug 23, 2010
Therese Jeanne CavanaughNeuberger Berman Bd LLC otherLord, Abbett & Co. LLC otherOtherAug 3, 2010Aug 11, 2010
Tim Michael BenzelNeuberger Berman Bd LLC otherInvesco Managed Accounts, LLC otherOtherJun 22, 2010Oct 21, 2010 (121 d)
Steven Charles GuggenheimerNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 8, 2010Jun 9, 2010
Chad Wayne TorielloNeuberger Berman Bd LLC otherDeutsche Bank Securities Inc. otherOtherJun 8, 2010Feb 22, 2011 (259 d)
George Mina ZakiNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 8, 2010Jun 4, 2010
Thomas Nicholas AndersonNeuberger Berman Bd LLC otherCapital Bank And Trust Company otherOtherApr 6, 2010Jun 26, 2018 (3003 d)
William Mark CareyNeuberger Berman Bd LLC otherCapital Guardian Trust Company otherOtherMar 23, 2010May 6, 2010 (44 d)
Kelly Pettit CostelloNeuberger Berman Bd LLC otherWells Fargo Advisors wirehouseOtherMar 16, 2010Mar 9, 2012 (724 d)
Lynn Ann BolandNeuberger Berman Bd LLC otherOppenheimer & Co. Inc. otherOtherMar 9, 2010Mar 5, 2010
Stephen John CowieNeuberger Berman Bd LLC otherPrincipal Securities, Inc. otherOtherFeb 17, 2010Apr 6, 2010 (48 d)
Dianne Karol DavisNeuberger Berman Bd LLC otherLPL Financial LLC otherOtherFeb 4, 2010Mar 15, 2010 (39 d)
Leslie M. SolmonsonNeuberger Berman Bd LLC otherMorgan Stanley wirehouseOtherFeb 2, 2010Jun 23, 2010 (141 d)
Garry Dean WhitfieldNeuberger Berman Bd LLC otherJ.P. Morgan Securities LLC wirehouseOtherDec 8, 2009Dec 8, 2009
Roger Bruce PalleyNeuberger Berman Bd LLC otherFirst Foundation Advisors otherOtherNov 25, 2009Nov 22, 2013 (1458 d)
Brian TurnerNeuberger Berman Bd LLC otherBarclays Capital Inc. otherOtherNov 10, 2009Nov 2, 2009
Zachary Michael HerreraNeuberger Berman Bd LLC otherNeuberger Berman Management LLC otherOtherOct 29, 2009Oct 29, 2009
John Paul SimmonsNeuberger Berman Bd LLC otherPnc Managed Account Solutions, Inc. otherOtherSep 8, 2009Nov 23, 2009 (76 d)
Frederick Wayne LearNeuberger Berman Bd LLC otherSloan Investment Management, L.L.C. otherOtherAug 26, 2009Aug 31, 2009
Scott Alan HolickNeuberger Berman Bd LLC otherFederated Investment Counseling otherOtherJul 24, 2009Nov 12, 2009 (111 d)
Joel RietveldNeuberger Berman Bd LLC otherMesirow Financial Investment Management, Inc. otherOtherJul 24, 2009Aug 23, 2010 (395 d)
Thomas M MohrNeuberger Berman Bd LLC otherWells Fargo Advisors wirehouseOtherJul 8, 2009Oct 14, 2009 (98 d)
Jon Gary BrauseNeuberger Berman Bd LLC otherBarclays Capital Inc. otherOtherMay 5, 2009Dec 21, 2010 (595 d)
Eric Patrick GiesNeuberger Berman Bd LLC otherPraxia Financial Services, LLC independent RIAOtherApr 21, 2009Nov 17, 2020 (4228 d)
Daniel T NilesNeuberger Berman Bd LLC otherNiles Investment Management, LLC asset managerOtherApr 7, 2009Apr 30, 2024 (5502 d)
Lloyd Mark AbramowitzNeuberger Berman Bd LLC otherCerity Partners LLC independent RIAOtherMar 10, 2009Jul 21, 2021 (4516 d)
Deva PanamburNeuberger Berman Bd LLC otherSarsi, LLC state registeredOtherMar 10, 2009Aug 22, 2013 (1626 d)
Milin Shyam RaoNeuberger Berman Bd LLC otherBarclays Capital Inc. otherOtherFeb 17, 2009Apr 13, 2010 (420 d)
Lauren Ashley KleinNeuberger Berman Bd LLC otherCredit Suisse Securities (USA) LLC otherOtherFeb 17, 2009Jun 9, 2009 (112 d)
Erin M. CottomNeuberger Berman Bd LLC otherRBC Capital Markets, LLC national BDOtherFeb 10, 2009Feb 3, 2009
Reva ShakkottaiNeuberger Berman Bd LLC otherRBC Capital Markets, LLC national BDOtherFeb 10, 2009Feb 3, 2009
Michael L WittmanNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 18, 2008Dec 11, 2008
Henry B RobertsonNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherNov 18, 2008Nov 7, 2008
Seamus Matthew MonscheinNeuberger Berman Bd LLC otherRBC Capital Markets, LLC national BDOtherNov 4, 2008Oct 31, 2008
Jeffrey Ryan TuckerNeuberger Berman Bd LLC otherRBC Capital Markets, LLC national BDOtherNov 4, 2008Oct 31, 2008
Albert Edward GoughNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 28, 2008Nov 14, 2008
Lynda Ann CastellanoNeuberger Berman Bd LLC otherCerity Partners LLC independent RIAOtherOct 8, 2008Jul 19, 2021 (4667 d)
Robin Alexandra StarrNeuberger Berman Bd LLC otherOsaic Fa, Inc. otherOtherAug 19, 2008Oct 17, 2008 (59 d)
Philip James CallahanNeuberger Berman Bd LLC otherOak Ridge Investments, LLC otherOtherAug 4, 2008Mar 24, 2015 (2423 d)
Maria Pisoni DaleyNeuberger Berman Bd LLC otherCharles Schwab & Co., Inc. national BDOtherJun 17, 2008Jul 9, 2008
Douglas Michael QuartnerNeuberger Berman Bd LLC otherLehman Brothers Inc. unclassifiedOtherJun 4, 2008Jun 3, 2008
Patrick Gerard ManziNeuberger Berman Bd LLC otherCredit Suisse Securities (USA) LLC otherOtherJun 3, 2008Oct 13, 2008 (132 d)
Mark StancilNeuberger Berman Bd LLC otherPiedmont Asset Management, LLC unclassifiedOtherJun 3, 2008Jun 4, 2008
Mark Alan JacobyNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 29, 2008Apr 29, 2008
Nels George WangensteenNeuberger Berman Bd LLC otherMaytech Global Investments independent RIAOtherApr 29, 2008Sep 4, 2021 (4876 d)
Garrett Mitchell AltonNeuberger Berman Bd LLC otherGfo Advisory Services, LLC otherOtherApr 9, 2008Mar 27, 2008
Michael John HanrattyNeuberger Berman Bd LLC otherBlackrock Investment Management, LLC otherOtherApr 8, 2008Jul 2, 2013 (1911 d)
Robert J FirthNeuberger Berman Bd LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 8, 2008Apr 30, 2008
Stephen James CoulterNeuberger Berman Bd LLC otherHonorvise Investments, LLC unclassifiedOtherMar 19, 2008May 14, 2008 (56 d)
John Edward HeldmanNeuberger Berman Bd LLC otherTriad Investment Management, LLC independent RIAOtherMar 11, 2008Jul 5, 2023 (5594 d)
Richard Charles MordesovichNeuberger Berman Bd LLC otherBakeravenue otherOtherMar 4, 2008Oct 2, 2008 (212 d)
Steven Joseph LiebermanNeuberger Berman Bd LLC otherLehman Brothers Inc. unclassifiedOtherJan 8, 2008Jan 7, 2008
John Joseph ZielinskiNeuberger Berman Bd LLC otherNeuberger Berman Management LLC otherOtherSep 18, 2007Mar 17, 2003
Sue Ann CaplanNeuberger Berman Bd LLC otherAlliancebernstein L.P. otherOtherSep 11, 2007May 20, 2016 (3174 d)
Mark Richard BaranNeuberger Berman Bd LLC otherAndrew Garrett, Inc. otherOtherAug 28, 2007Oct 22, 2008 (421 d)
Shant ThomasianNeuberger Berman Bd LLC otherLehman Brothers Inc. unclassifiedOtherJul 31, 2007Jul 26, 2007
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340 moves match.