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 |
|---|---|---|---|---|---|
| Thomas John Shook | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jul 8, 2021 | Aug 18, 2021 (41 d) |
| Kenneth Pickett | E*Trade Capital Management, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 30, 2021 | Sep 8, 2021 (70 d) |
| Gabriel Taylor | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 28, 2021 | Aug 6, 2021 (39 d) |
| Douglas Alldredge | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 10, 2021 | Jul 14, 2021 (34 d) |
| Timothy R Wagenknecht | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 10, 2021 | Aug 6, 2021 (57 d) |
| Charles Mitchel Guittari | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Private Wealth Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 10, 2021 | Jun 15, 2021 |
| Christine J. Godlewski | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 26, 2021 | Jul 13, 2021 (48 d) |
| Kevin Jordan Graham | E*Trade Capital Management, LLC independent RIA | Rothschild Wealth LLC independent RIA | RIA to RIA | May 25, 2021 | Jun 3, 2021 |
| James Rohn | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | May 11, 2021 | Jan 7, 2022 (241 d) |
| Bao Q Le | E*Trade Capital Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | May 7, 2021 | May 11, 2021 |
| Jesse L. Biers | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 7, 2021 | Jun 16, 2021 (40 d) |
| Brian C Forseth | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Apr 19, 2021 | May 7, 2021 |
| Damon Charles Glenn | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2021 | Apr 26, 2021 |
| Michael Cong Truong | E*Trade Capital Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Apr 19, 2021 | May 4, 2021 |
| Cory Dickison | E*Trade Capital Management, LLC independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2021 | Apr 5, 2021 |
| Bilal Jibril Colbert | E*Trade Capital Management, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2021 | May 26, 2021 (37 d) |
| Ryan Keapproth | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 19, 2021 | Jun 30, 2021 (72 d) |
| Kye Daniel Moser | E*Trade Capital Management, LLC independent RIA | Diversify Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2021 | Sep 15, 2023 (904 d) |
| Jameson K Stady | E*Trade Capital Management, LLC independent RIA | Facet independent RIA | RIA to RIA | Mar 25, 2021 | Jul 1, 2021 (98 d) |
| Di Wu | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Mar 25, 2021 | Apr 21, 2021 |
| Nathan David Stewart | E*Trade Capital Management, LLC independent RIA | Capital Advisors, Inc. independent RIA | RIA to RIA | Mar 19, 2021 | Apr 6, 2021 |
| Christopher Menzel | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Mar 10, 2021 | Aug 20, 2021 (163 d) |
| Christopher Gomez | E*Trade Capital Management, LLC independent RIA | Ep Wealth Advisors independent RIA | RIA to RIA | Mar 10, 2021 | Jun 16, 2021 (98 d) |
| Shannon James Bene | E*Trade Capital Management, LLC independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Mar 5, 2021 | Feb 22, 2021 |
| Wayne Windholz | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 24, 2021 | Mar 16, 2021 |
| Adrian Byrd | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 24, 2021 | Mar 30, 2021 (34 d) |
| Reginald Harrison | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Feb 8, 2021 | Jan 5, 2022 (331 d) |
| David Timothy Evans | E*Trade Capital Management, LLC independent RIA | Personal Capital Advisors Corporation independent RIA | RIA to RIA | Feb 2, 2021 | Jan 25, 2021 |
| John Richard Sheridan | E*Trade Capital Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Feb 2, 2021 | May 3, 2021 (90 d) |
| Lauren Chelsea Cantillo | E*Trade Capital Management, LLC independent RIA | Beacon Pointe Advisors, LLC independent RIA | RIA to RIA | Jan 21, 2021 | Feb 17, 2021 |
| Riley R. Andren | E*Trade Capital Management, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Dec 16, 2020 | Feb 5, 2021 (51 d) |
| Sean Thomas Johnson | E*Trade Capital Management, LLC independent RIA | Personal Capital Advisors Corporation independent RIA | RIA to RIA | Dec 16, 2020 | Dec 10, 2020 |
| Brett M Bennett | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Dec 4, 2020 | Jan 8, 2021 (35 d) |
| Istrael Diego | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2020 | Feb 2, 2022 (425 d) |
| Andrew M Cryar | E*Trade Capital Management, LLC independent RIA | Truist Advisory Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 4, 2020 | Aug 10, 2021 (249 d) |
| Thadius Beavers | E*Trade Capital Management, LLC independent RIA | Prospera Financial Services, Inc. independent RIA | RIA to RIA | Nov 24, 2020 | Feb 4, 2021 (72 d) |
| Matthew Toelke | E*Trade Capital Management, LLC independent RIA | Excelsior Wealth Management LLC independent RIA | RIA to RIA | Nov 19, 2020 | Aug 20, 2024 (1370 d) |
| Thomas Paul Clooney | E*Trade Capital Management, LLC independent RIA | Retirement Plan Advisors, LLC mixed wealth | RIA to RIA | Nov 10, 2020 | Nov 4, 2020 |
| Anthony Catapano | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Nov 10, 2020 | Feb 26, 2021 (108 d) |
| David Marc Janis | E*Trade Capital Management, LLC independent RIA | Personal Capital Advisors Corporation independent RIA | RIA to RIA | Oct 14, 2020 | Oct 26, 2020 |
| Roland Miller | E*Trade Capital Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Oct 13, 2020 | Apr 24, 2023 (923 d) |
| Nicolas Jacob Wolfson | E*Trade Capital Management, LLC independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Sep 30, 2020 | Oct 6, 2022 (736 d) |
| Justin Noyle | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Sep 18, 2020 | Sep 29, 2020 |
| Rakesh Ravani | E*Trade Capital Management, LLC independent RIA | Edelman Financial Engines mixed wealth | RIA to RIA | Sep 16, 2020 | Aug 31, 2020 |
| Samuel Mattson | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 11, 2020 | Sep 16, 2020 |
| Christopher Michael Blackburn | E*Trade Capital Management, LLC independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2020 | Sep 17, 2020 |
| Matthew Ward Weiss | E*Trade Capital Management, LLC independent RIA | UBS Financial Services Inc. wirehouse | RIA to wirehouse | Sep 3, 2020 | Jan 7, 2022 (491 d) |
| Zachary Pero | E*Trade Capital Management, LLC independent RIA | Sofi Wealth LLC independent RIA | RIA to RIA | Aug 26, 2020 | Feb 18, 2022 (541 d) |
| Joan M Kucinski | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Aug 14, 2020 | Aug 13, 2020 |
| Daryl Joseph Martin | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jul 24, 2020 | Sep 1, 2020 (39 d) |
| Mitchell Aaron Tokowitz | E*Trade Capital Management, LLC independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 21, 2020 | Aug 25, 2020 (35 d) |
| Dung Tien Huynh | E*Trade Capital Management, LLC independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 21, 2020 | Sep 9, 2020 (50 d) |
| Michael David Pearce | E*Trade Capital Management, LLC independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | Jul 17, 2020 | Jul 13, 2020 |
| Lajuan T Wright | E*Trade Capital Management, LLC independent RIA | Invesco Advisers, Inc. asset manager | Other | Jul 17, 2020 | Jul 30, 2020 |
| Karan Sayal | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2020 | May 10, 2021 (297 d) |
| Nathan Klevit | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jul 9, 2020 | Aug 11, 2020 (33 d) |
| Adam Schwartz | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2020 | Jul 29, 2020 |
| Michael Merritt Hiniker | E*Trade Capital Management, LLC independent RIA | Advisornet Wealth Partners independent RIA | RIA to RIA | Jun 12, 2020 | May 20, 2021 (342 d) |
| Michael Bishay | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 12, 2020 | Jul 15, 2020 (33 d) |
| Flora Burke | E*Trade Capital Management, LLC independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 5, 2020 | Aug 31, 2020 (87 d) |
801 moves match.