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 |
|---|---|---|---|---|---|
| Paul J. Zarkowski | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 11, 2023 | Oct 25, 2023 (75 d) |
| Anthony James Stapleton | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 11, 2023 | Oct 13, 2023 (63 d) |
| Troy Marshall Rozich | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 11, 2023 | Aug 31, 2023 |
| Michael Wilfort Chavez | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 11, 2023 | Aug 24, 2023 |
| Christopher Scott Finley | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 11, 2023 | Sep 7, 2023 |
| Kevin Lewis | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 11, 2023 | Sep 18, 2023 (38 d) |
| Lloyd George Phipps | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 11, 2023 | Aug 18, 2023 |
| Dimitry Petrovich Makhanov | E*Trade Capital Management, LLC independent RIA | Onedigital institutional | Other | Aug 11, 2023 | Aug 8, 2023 |
| George Charles Grant | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 10, 2023 | Dec 11, 2024 (489 d) |
| Turner Joseph Schroll | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 10, 2023 | Dec 1, 2023 (113 d) |
| Robert D Gunderson | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Aug 10, 2023 | Aug 25, 2023 |
| Christopher Derstine | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 9, 2023 | Jul 18, 2023 |
| Kameron Zan Muzic-Ali | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 8, 2023 | Aug 11, 2023 |
| Oleg A. Zaytsev | E*Trade Capital Management, LLC independent RIA | Pnc Wealth Management BD affiliated | RIA to affiliated broker-dealer or bank | Aug 3, 2023 | Jul 12, 2023 |
| Jordan Mckissick | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 3, 2023 | Sep 1, 2023 |
| Anthony Robert Stowman | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 2, 2023 | Aug 14, 2023 |
| Karen Ann Donofrio | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 1, 2023 | Aug 15, 2023 |
| Jacob Depillo | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 1, 2023 | Aug 14, 2023 |
| Luca Andrea Carlino | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 1, 2023 | Aug 7, 2023 |
| Terry De La Mesa Nilsen | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jul 31, 2023 | Aug 22, 2023 |
| Peter Joseph Lopresti | E*Trade Capital Management, LLC independent RIA | Allstate Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 28, 2023 | Aug 1, 2023 |
| Parizad Firdosh Chinoy | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jul 28, 2023 | Jul 14, 2023 |
| Matthew Brent Lorner | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Jul 12, 2023 | Jul 13, 2023 |
| Joshua Hamilton Rando | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jul 3, 2023 | Jun 21, 2023 |
| Dragana Petrovic | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Jun 29, 2023 | Jul 19, 2023 |
| Nicanor Camilo Trujillo | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 28, 2023 | Jul 24, 2023 |
| Nicholas Mccreary | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jun 28, 2023 | Jul 24, 2023 |
| Luciano A Mira | E*Trade Capital Management, LLC independent RIA | Walser Wealth Management Company, A Limited Liability Company independent RIA | RIA to RIA | Jun 27, 2023 | Jan 26, 2024 (213 d) |
| Jose Antonio Martinez | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Jun 23, 2023 | Jun 30, 2023 |
| Karen Chang | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 23, 2023 | Jul 7, 2023 |
| Frank Lee Wilson | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 23, 2023 | Aug 23, 2023 (61 d) |
| Bryce Sagers | E*Trade Capital Management, LLC independent RIA | Polaris Wealth Advisory Group independent RIA | RIA to RIA | Jun 23, 2023 | Jun 14, 2023 |
| Ricardo Brenner | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jun 23, 2023 | Jun 6, 2023 |
| John Paul Orlikowski | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jun 20, 2023 | Jun 13, 2023 |
| Andrew D Vasquez | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 15, 2023 | Aug 15, 2023 (61 d) |
| Stephen Chad Estep | E*Trade Capital Management, LLC independent RIA | Corient independent RIA | RIA to RIA | May 24, 2023 | Jul 11, 2024 (414 d) |
| Clark M. Turner | E*Trade Capital Management, LLC independent RIA | State Farm Investment Management Corp. asset manager | Other | May 11, 2023 | Jan 8, 2025 (608 d) |
| Aaron Wargo | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 5, 2023 | Jun 2, 2023 |
| Gabriel Yeotzin Gutierrez Rodriguez | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 2, 2023 | May 11, 2023 |
| Dia Khan | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | May 2, 2023 | May 9, 2023 |
| Jonathan P Hawryschuk | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 28, 2023 | Jul 10, 2025 (804 d) |
| Thomas Scott Peel | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Apr 26, 2023 | May 22, 2023 |
| Jessica Marie Gutierrez | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 26, 2023 | Apr 2, 2025 (707 d) |
| Garrett James Dunlap | E*Trade Capital Management, LLC independent RIA | Pnc Wealth Management BD affiliated | RIA to affiliated broker-dealer or bank | Apr 21, 2023 | Apr 19, 2023 |
| Deanna Norris | E*Trade Capital Management, LLC independent RIA | Gradient Advisors, LLC independent RIA | RIA to RIA | Apr 18, 2023 | Jul 29, 2024 (468 d) |
| Gaetano Germinario | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Apr 18, 2023 | Mar 27, 2023 |
| Brent Walker | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2023 | May 1, 2023 |
| Dave M. Malhotra | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 17, 2023 | Apr 17, 2024 (366 d) |
| Carol Ann Bowe | E*Trade Capital Management, LLC independent RIA | Transamerica Retirement Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 6, 2023 | Apr 16, 2023 |
| Carlo Della Mea | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Apr 5, 2023 | Jan 13, 2023 |
| David F. Blackburn | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 4, 2023 | May 11, 2023 (37 d) |
| Amadeus John Frega | E*Trade Capital Management, LLC independent RIA | Edelman Financial Engines mixed wealth | RIA to RIA | Apr 4, 2023 | Jun 27, 2023 (84 d) |
| Lindsey Elise Colosey | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 4, 2023 | Jul 27, 2023 (114 d) |
| Annabelle Slater | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Apr 3, 2023 | Apr 5, 2023 |
| Matthew Thomas Stanhope | E*Trade Capital Management, LLC independent RIA | Robert W. Baird & Co. Incorporated mixed wealth | RIA to RIA | Apr 3, 2023 | Jul 19, 2023 (107 d) |
| Gary Ray Bryant | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Mar 31, 2023 | Apr 12, 2023 |
| Jose M Raposo | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Mar 31, 2023 | Apr 17, 2023 |
| Renee Dalal Dawson | E*Trade Capital Management, LLC independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2023 | Nov 25, 2024 (608 d) |
| Myshaina Joy Kehinde | E*Trade Capital Management, LLC independent RIA | Empower Advisory Group, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2023 | Apr 11, 2023 |
| Johnathan Ellison | E*Trade Capital Management, LLC independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2023 | Aug 24, 2023 (149 d) |
801 moves match.