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.

AdvisorFromToTypeLeftRegistered
Korin J. YeagerE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMar 24, 2023May 12, 2023 (49 d)
Seth J WernickE*Trade Capital Management, LLC independent RIALiquid Strategies, LLC asset managerOtherMar 24, 2023May 9, 2024 (412 d)
Rose JoyceE*Trade Capital Management, LLC independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankMar 9, 2023Apr 5, 2023
Robert Lee HuddlestonE*Trade Capital Management, LLC independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankMar 8, 2023Feb 17, 2023
Adam James HolthouseE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMar 1, 2023Apr 12, 2023 (42 d)
Kyle BaildonE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankMar 1, 2023Mar 14, 2023
James BerminghamE*Trade Capital Management, LLC independent RIAVoya Financial Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankFeb 17, 2023Feb 23, 2023
Rufino Fernando AutusE*Trade Capital Management, LLC independent RIAEquitable Advisors, LLC national BDRIA to affiliated broker-dealer or bankFeb 16, 2023Jan 20, 2023
Richard Kevin ZacharyE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankFeb 7, 2023Apr 25, 2023 (77 d)
Benjamin Ammon BradfordE*Trade Capital Management, LLC independent RIAMaxwell Wealth independent RIARIA to RIAJan 31, 2023Jan 4, 2023
Robert Oliver Dela CruzE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankJan 31, 2023Apr 12, 2023 (71 d)
Nathan Allan RoozeeE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankJan 31, 2023Mar 24, 2023 (52 d)
Nicole Marie AmoreE*Trade Capital Management, LLC independent RIAFalcon Wealth Planning, Inc. independent RIARIA to RIAJan 17, 2023Jan 11, 2023
Alexander FrumkerE*Trade Capital Management, LLC independent RIAWells Fargo Advisors wirehouseRIA to wirehouseJan 13, 2023Jan 3, 2023
Matthew EkmanE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankJan 13, 2023Feb 13, 2023 (31 d)
Derar Suleiman DamraE*Trade Capital Management, LLC independent RIAUBS Financial Services Inc. wirehouseRIA to wirehouseJan 6, 2023Feb 1, 2023
Michael William HollE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 20, 2022Dec 12, 2022
Jesus Enrique MercadoE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 19, 2022Dec 9, 2022
Michael RocheE*Trade Capital Management, LLC independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankDec 16, 2022Jan 12, 2023
Joseph Tanner TempletonE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 13, 2022Dec 1, 2022
Krista Deann WittmaackE*Trade Capital Management, LLC independent RIAKey Investment Services LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 1, 2022Nov 23, 2022
Saman BigharazE*Trade Capital Management, LLC independent RIAFalcon Wealth Planning, Inc. independent RIARIA to RIANov 18, 2022Nov 17, 2022
Brent Christopher CohenE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseNov 18, 2022Nov 2, 2022
Rian Tony GoulartE*Trade Capital Management, LLC independent RIADimensional Fund Advisors LP asset managerOtherNov 18, 2022Dec 16, 2022
Maegan Gwendolyn CitronE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankNov 18, 2022Feb 9, 2023 (83 d)
Eric Spencer TaylorE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseNov 10, 2022Jan 4, 2023 (55 d)
Jose Rivas EspinozaE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseNov 1, 2022Jan 9, 2023 (69 d)
Matthew Brian EllisE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 25, 2022Apr 6, 2023 (163 d)
Patrick PattersonE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 25, 2022Jan 11, 2023 (78 d)
Rick Stallen AvelarE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 25, 2022Jan 27, 2023 (94 d)
Angelica Faye AndreottiE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 18, 2022Feb 9, 2023 (114 d)
Stacey JamesE*Trade Capital Management, LLC independent RIACitigroup Global Markets Inc. BD affiliatedRIA to affiliated broker-dealer or bankOct 17, 2022Nov 8, 2022
Maggie Rhea ParkerE*Trade Capital Management, LLC independent RIAAmeritas Advisory Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 14, 2022Apr 13, 2023 (181 d)
Douglas Bruce SmithE*Trade Capital Management, LLC independent RIAEdelman Financial Engines mixed wealthRIA to RIAOct 11, 2022Oct 7, 2022
Darrin Andrew ChowE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 11, 2022Nov 10, 2022
Danielle EdwardsE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 11, 2022Dec 7, 2022 (57 d)
Joshua Bruce WalzerE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 7, 2022Sep 27, 2022
Craig A. GloverE*Trade Capital Management, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseOct 7, 2022Nov 9, 2022 (33 d)
Herschel DiazE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 7, 2022Nov 28, 2022 (52 d)
Richard K PowersE*Trade Capital Management, LLC independent RIARBC Rochdale, LLC BD affiliatedRIA to affiliated broker-dealer or bankOct 6, 2022Nov 16, 2023 (406 d)
Thomas F MartinE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseOct 4, 2022Sep 29, 2022
Greg William GorderE*Trade Capital Management, LLC independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankSep 16, 2022Sep 9, 2022
Matthew Craig NorthropE*Trade Capital Management, LLC independent RIAMain Street Research LLC independent RIARIA to RIASep 16, 2022Jan 2, 2024 (473 d)
David Wei-Jeng ChenE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 16, 2022Oct 14, 2022
Witta PayackapanE*Trade Capital Management, LLC independent RIASonora Investment Management independent RIARIA to RIASep 15, 2022Sep 28, 2022
Blake WilleyE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 13, 2022Oct 4, 2022
John AbreuE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankSep 12, 2022Nov 17, 2022 (66 d)
Blake L WilsonE*Trade Capital Management, LLC independent RIARBC Capital Markets, LLC national BDRIA to affiliated broker-dealer or bankSep 7, 2022Sep 14, 2022
Edward Gerard SpiegelE*Trade Capital Management, LLC independent RIAWedbush Securities Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 31, 2022Oct 10, 2023 (405 d)
Pietro LombardiE*Trade Capital Management, LLC independent RIAFalcon Wealth Planning, Inc. independent RIARIA to RIAAug 26, 2022Aug 16, 2022
Kenneth J KochE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseAug 26, 2022Sep 28, 2022 (33 d)
Nicole Leilani JacobsonE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankAug 26, 2022Oct 18, 2022 (53 d)
Jason Nix MooreE*Trade Capital Management, LLC independent RIAMoore Investment Partners, LLC state registeredRIA to a state-registered adviserAug 22, 2022Aug 16, 2022
Kevin T SheehanE*Trade Capital Management, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseAug 12, 2022Aug 12, 2022
Oliver John Joseph KearneyE*Trade Capital Management, LLC independent RIAWells Fargo Advisors wirehouseRIA to wirehouseAug 3, 2022Jul 15, 2022
Christopher GomezE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankAug 3, 2022Aug 15, 2022
Tamara Nickole PowellE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseAug 2, 2022Aug 3, 2022
Daniel ObrandE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankJul 28, 2022Sep 20, 2022 (54 d)
Daniel A MontesinosE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseJul 28, 2022Aug 30, 2022 (33 d)
Gary Allen ScottE*Trade Capital Management, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJul 28, 2022May 10, 2023 (286 d)
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801 moves match.