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 Advanced Equities, 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.

AdvisorFromToTypeLeftRegistered
Peter Sean McdonnellAdvanced Equities, Inc. otherRoth Capital Partners, LLC state registeredOtherNov 20, 2012Jan 17, 2013 (58 d)
James Patrick KozakAdvanced Equities, Inc. otherRoth Capital Partners, LLC state registeredOtherNov 20, 2012Jan 17, 2013 (58 d)
Saju BahuleyanAdvanced Equities, Inc. otherCharles Schwab & Co., Inc. national BDOtherNov 20, 2012Jan 22, 2014 (428 d)
John Peter FerrickAdvanced Equities, Inc. otherRoth Capital Partners, LLC state registeredOtherNov 20, 2012Jan 17, 2013 (58 d)
Christopher William StruckAdvanced Equities, Inc. otherFirst Trust Advisors LP otherOtherNov 20, 2012Jun 25, 2014 (582 d)
Gerald Palmer PascalAdvanced Equities, Inc. otherVoya Retirement Advisors, LLC otherOtherNov 20, 2012Jan 17, 2013 (58 d)
David M KubicaAdvanced Equities, Inc. otherCharles Schwab & Co., Inc. national BDOtherNov 20, 2012Jul 15, 2014 (602 d)
Gordon Eliot FalloneAdvanced Equities, Inc. otherRoth Capital Partners, LLC state registeredOtherNov 19, 2012Jan 24, 2013 (66 d)
Peter Raymond FogartyAdvanced Equities, Inc. otherRoth Capital Partners, LLC state registeredOtherNov 19, 2012Jan 17, 2013 (59 d)
Michael Christopher BuchcarAdvanced Equities, Inc. otherCetera Advisor Networks LLC otherOtherNov 19, 2012Oct 10, 2014 (690 d)
Mark Herbert MillerAdvanced Equities, Inc. otherFirst Trust Advisors LP otherOtherNov 19, 2012Jan 22, 2013 (64 d)
Richard Alan CatiponAdvanced Equities, Inc. otherMorgan Stanley wirehouseOtherNov 19, 2012Dec 13, 2012
Silvio D. MoralesAdvanced Equities, Inc. otherMorgan Stanley wirehouseOtherNov 19, 2012May 20, 2013 (182 d)
William Henry MetzAdvanced Equities, Inc. otherFeltl Advisors otherOtherNov 19, 2012Jul 18, 2013 (241 d)
Arthur Leo ColemanAdvanced Equities, Inc. otherWells Fargo Advisors wirehouseOtherNov 19, 2012Jan 14, 2013 (56 d)
Eric C HillAdvanced Equities, Inc. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 31, 2012Oct 31, 2012 (92 d)
Aaron Michael DaughertyAdvanced Equities, Inc. otherE*Trade Capital Management, LLC otherOtherJul 3, 2012Dec 19, 2012 (169 d)
Christopher Clarke GilmorAdvanced Equities, Inc. otherTd Ameritrade Investment Management, LLC otherOtherMay 7, 2012Dec 4, 2013 (576 d)
Kevin Lewis JohnsonAdvanced Equities, Inc. otherHightower Advisors, LLC otherOtherApr 17, 2012Apr 23, 2012
Thomas Jon CasperAdvanced Equities, Inc. otherJackson Wealth Management, LLC otherOtherMar 23, 2012Sep 17, 2012 (178 d)
William Frederick PedersenAdvanced Equities, Inc. otherOsborne Partners otherOtherMar 6, 2012May 2, 2012 (57 d)
Kevin Timothy RadellAdvanced Equities, Inc. otherGhent Capital Advisors LLC no RAUMOtherFeb 10, 2012Feb 24, 2014 (745 d)
Kimberly Victoria Rian HaupinAdvanced Equities, Inc. otherNorthern Trust Securities, Inc no RAUMOtherOct 21, 2011Apr 7, 2015 (1264 d)
Nathan J HurtyAdvanced Equities, Inc. otherMorgan Stanley wirehouseOtherOct 19, 2011Oct 26, 2011
Gerald Eric HagmanAdvanced Equities, Inc. otherWaddell & Reed otherOtherAug 2, 2011Nov 12, 2012 (468 d)
William Knowis KaiserAdvanced Equities, Inc. otherLegacytexas Wealth Advisors otherOtherJun 10, 2011Jun 24, 2011
Peter Page FedererAdvanced Equities, Inc. otherJ.P. Morgan Securities LLC wirehouseOtherJul 19, 2010Mar 29, 2024 (5002 d)
Robert Joseph SzigetiAdvanced Equities, Inc. otherNational Planning Corporation ("Npc Of America" In Fl & Ny) otherOtherJun 28, 2010Mar 28, 2012 (639 d)
Steven SorannoAdvanced Equities, Inc. otherAmeriprise Financial Services, LLC national BDOtherMay 26, 2010Oct 20, 2014 (1608 d)
Daniel Patrick O'MalleyAdvanced Equities, Inc. otherMorgan Stanley wirehouseOtherMar 23, 2010May 19, 2014 (1518 d)
James Patrick LynchAdvanced Equities, Inc. otherChicago Investment Group Advisors, LLC unclassifiedOtherAug 20, 2009Aug 25, 2009
John B BalmerAdvanced Equities, Inc. otherLPL Financial LLC otherOtherJan 5, 2009Sep 13, 2011 (981 d)
Matthew Mark ReynoldsAdvanced Equities, Inc. otherHightower Advisors, LLC otherOtherNov 18, 2008Jan 6, 2009 (49 d)
Todd Lee SchossowAdvanced Equities, Inc. otherNexgen Capital Investors, LLC unclassifiedOtherNov 11, 2008Aug 20, 2009 (282 d)
Stacey Lee VelezAdvanced Equities, Inc. otherGeneva Advisors, LLC otherOtherOct 29, 2008Jan 23, 2009 (86 d)
Phillip FalkAdvanced Equities, Inc. otherWorkman Securities Corporation unclassifiedOtherOct 24, 2008Oct 14, 2008
Brett A JacobsonAdvanced Equities, Inc. otherChase Investment Services Corp. otherOtherJul 18, 2006Mar 9, 2007 (234 d)
Glenn Scott SchwaljeAdvanced Equities, Inc. otherMorgan Stanley Dw Inc. unclassifiedOtherApr 27, 2006Mar 2, 2007 (309 d)
Stephen Pavey MeskanAdvanced Equities, Inc. otherB Riley Wealth Management otherOtherSep 23, 2005Sep 22, 2005
James Patrick KozakAdvanced Equities, Inc. otherHedeker Wealth LLC otherOtherFeb 18, 2003Dec 20, 2002
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40 moves match.