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 E*Trade Capital Management, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Benjamin Ross Ezrine | E*Trade Capital Management, LLC independent RIA | Capital Investment Advisors, LLC independent RIA | RIA to RIA | Aug 24, 2023 | Sep 18, 2023 |
| James Lang | E*Trade Capital Management, LLC independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Aug 21, 2023 | Nov 2, 2023 (73 d) |
| Victor E. Salanovsky | E*Trade Capital Management, LLC independent RIA | Citizens Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Dec 1, 2023 (102 d) |
| Sei Il Im | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 21, 2023 | Sep 1, 2023 |
| Scott Tyler Odonnell | E*Trade Capital Management, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Sep 12, 2023 |
| Keith R Schneider | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Nov 14, 2023 (85 d) |
| Stephen Bornet | E*Trade Capital Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Oct 18, 2023 (58 d) |
| Carlos Caban | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Sep 15, 2023 |
| Osmar Hernandez | E*Trade Capital Management, LLC independent RIA | Citizens Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Sep 26, 2023 (36 d) |
| Matthew Michael Maher | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Aug 22, 2023 |
| Stephen Sliwa | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Sep 8, 2023 |
| Jacob A Epstein | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 21, 2023 | Aug 16, 2023 |
| Joseph Sparacino | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Aug 25, 2023 |
| Brett Mulitz | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 21, 2023 | Aug 8, 2023 |
| Mark Szwagulinski | E*Trade Capital Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Jan 4, 2024 (139 d) |
| Jennifer R Olenik | E*Trade Capital Management, LLC independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Aug 24, 2023 |
| Thomas Joseph Raleigh | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 18, 2023 | Sep 7, 2023 |
| Christopher Paul Reda | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Aug 24, 2023 |
| Todd Zimmerman | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Aug 31, 2023 |
| Carrie Lee | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Oct 4, 2023 (47 d) |
| Brian William Gilroy | E*Trade Capital Management, LLC independent RIA | Edelman Financial Engines independent RIA | RIA to RIA | Aug 18, 2023 | Aug 8, 2024 (356 d) |
| Richard John Gunderud | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Sep 25, 2023 (38 d) |
| Judin Pierre Louis | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Sep 6, 2023 |
| Evander Douglas Thompson | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Sep 8, 2023 |
| Arthur Gordon Warden | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 18, 2023 | Oct 24, 2023 (67 d) |
| Marc A Ferraiola | E*Trade Capital Management, LLC independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2023 | Dec 21, 2023 (125 d) |
| Thomas Kaplan | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 17, 2023 | Sep 22, 2023 (36 d) |
| Jodie Young | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 16, 2023 | Aug 28, 2023 |
| Sandra Buhay | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Mar 18, 2024 (216 d) |
| Christopher James Connor | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Sep 22, 2023 (38 d) |
| Brian A. Carlin | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Aug 21, 2023 |
| Louis Stephenson | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 15, 2023 | Aug 18, 2023 |
| Matthew Edward Cleary | E*Trade Capital Management, LLC independent RIA | Sentinel Pension Advisors, LLC. institutional | Other | Aug 15, 2023 | Nov 21, 2023 (98 d) |
| Garrett Lucchesi | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Aug 22, 2023 |
| Sung Hoon Pyon | E*Trade Capital Management, LLC independent RIA | Thrivent Investment Management Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Nov 14, 2023 (91 d) |
| Mark Stutz | E*Trade Capital Management, LLC independent RIA | Cadaret Grant & Co Inc BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Oct 23, 2023 (69 d) |
| Kevin Michael Doyle | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Oct 18, 2023 (64 d) |
| Ricardo Gutierrez | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 14, 2023 | Nov 9, 2023 (87 d) |
| Kevin Bast | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 14, 2023 | May 19, 2024 (279 d) |
| Michael Fiumara | E*Trade Capital Management, LLC independent RIA | Transamerica Retirement Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Aug 6, 2025 (723 d) |
| Anthony Loyola Masterson | E*Trade Capital Management, LLC independent RIA | Mercer Global Advisors Inc. independent RIA | RIA to RIA | Aug 14, 2023 | Dec 11, 2023 (119 d) |
| Timothy Byron Davis | E*Trade Capital Management, LLC independent RIA | Ima Advisory Services, Inc. independent RIA | RIA to RIA | Aug 14, 2023 | May 28, 2024 (288 d) |
| Mazeyar Wofford | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Aug 18, 2023 |
| Nicholas James Mucci | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Jun 5, 2024 (296 d) |
| Jacob J Heinz | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Aug 22, 2023 |
| Connor Alan Vlahos | E*Trade Capital Management, LLC independent RIA | Connectus Wealth independent RIA | RIA to RIA | Aug 14, 2023 | Feb 12, 2024 (182 d) |
| Connor Berkery | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Sep 8, 2023 |
| Austin M Johnson | E*Trade Capital Management, LLC independent RIA | Creative Planning independent RIA | RIA to RIA | Aug 14, 2023 | Sep 27, 2023 (44 d) |
| Saahil Kumar Jain | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Aug 21, 2023 |
| Andrew Perkins | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Sep 14, 2023 (31 d) |
| Andrew Joseph Schultz | E*Trade Capital Management, LLC independent RIA | Pnc Wealth Management BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Oct 26, 2023 (73 d) |
| Melissa Ann Reynolds | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Feb 2, 2024 (172 d) |
| Jacob Hillyard | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Feb 2, 2024 (172 d) |
| Robert Ison Lane | E*Trade Capital Management, LLC independent RIA | First Citizens Investor Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Mar 11, 2024 (210 d) |
| Sean P. Henry | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 14, 2023 | Oct 18, 2023 (65 d) |
| Gregory James Corcoran | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Aug 23, 2023 |
| Jordan Whipple | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 14, 2023 | Sep 5, 2023 |
| James M Croft | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2023 | Sep 8, 2023 |
| Geoffrey Kiyoshi Foster | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 14, 2023 | Sep 8, 2023 |
| Justin Tafoya | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 14, 2023 | Aug 14, 2023 |
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801 moves match.