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 |
|---|---|---|---|---|---|
| Terry Stoor | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 5, 2020 | Jul 7, 2020 (32 d) |
| Justin Michael Mcmahon | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | May 19, 2020 | Jun 11, 2020 |
| Christopher Edward Simon-Wallace | E*Trade Capital Management, LLC independent RIA | Td Ameritrade Investment Management, LLC independent RIA | RIA to RIA | Apr 13, 2020 | Apr 8, 2020 |
| Vivian La Bang | E*Trade Capital Management, LLC independent RIA | Capital Advisors, Inc. independent RIA | RIA to RIA | Apr 1, 2020 | Jun 10, 2020 (70 d) |
| Bryce Sagers | E*Trade Capital Management, LLC independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2020 | Mar 31, 2020 |
| Gonzalo Alonso | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2020 | Jul 24, 2020 (134 d) |
| Kevin James Mccarthy | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2020 | Jun 22, 2020 (102 d) |
| Jonathan David Lopez | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Mar 4, 2020 | Jun 18, 2020 (106 d) |
| Ryan Rogan Ahrens | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 25, 2020 | May 20, 2020 (85 d) |
| Daniel Scott Worley | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Feb 10, 2020 | Feb 10, 2020 |
| Steven Park | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Feb 3, 2020 | Feb 3, 2021 (366 d) |
| Edward J Rossi | E*Trade Capital Management, LLC independent RIA | Oak Harvest Investment Services independent RIA | RIA to RIA | Jan 28, 2020 | Feb 25, 2020 |
| Samuel Anton Goerss | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jan 22, 2020 | May 20, 2020 (119 d) |
| Alex Matthew Avila | E*Trade Capital Management, LLC independent RIA | Principal Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 22, 2020 | Aug 13, 2020 (204 d) |
| Edgar Pino | E*Trade Capital Management, LLC independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 17, 2020 | Nov 10, 2021 (663 d) |
| Robert G Burke | E*Trade Capital Management, LLC independent RIA | Savvi Financial LLC independent RIA | RIA to RIA | Jan 2, 2020 | Jun 16, 2020 (166 d) |
| Daniel Alcala | E*Trade Capital Management, LLC independent RIA | Global Retirement Partners LLC institutional | Other | Jan 2, 2020 | Feb 3, 2021 (398 d) |
| Matthew Chung | E*Trade Capital Management, LLC independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2019 | Nov 19, 2021 (700 d) |
| Jo Laurie Schmeltzer | E*Trade Capital Management, LLC independent RIA | Planmember Securities Corporation independent RIA | RIA to RIA | Dec 16, 2019 | Jul 27, 2021 (589 d) |
| John Cote | E*Trade Capital Management, LLC independent RIA | Wealth Enhancement Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 6, 2019 | Feb 27, 2020 (83 d) |
| Ian Stephens | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Dec 6, 2019 | Dec 11, 2019 |
| Brad Arrington | E*Trade Capital Management, LLC independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Dec 6, 2019 | Nov 24, 2021 (719 d) |
| Anthony Wentzell | E*Trade Capital Management, LLC independent RIA | Plan & Act no RAUM | Other | Nov 18, 2019 | Feb 5, 2020 (79 d) |
| Tien Hsiang Sun | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Nov 13, 2019 | Oct 18, 2019 |
| Kyle Walters | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Nov 13, 2019 | Oct 31, 2019 |
| Eric W Jones | E*Trade Capital Management, LLC independent RIA | Ally Invest Advisors independent RIA | RIA to RIA | Nov 7, 2019 | Jul 31, 2024 (1728 d) |
| Matthew Temple Corrigan | E*Trade Capital Management, LLC independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 7, 2019 | Mar 25, 2020 (139 d) |
| Tyler Ryan Christiansen | E*Trade Capital Management, LLC independent RIA | First Trust Advisors LP asset manager | Other | Nov 7, 2019 | Jul 25, 2023 (1356 d) |
| Anthony Curtis Robinson | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Nov 6, 2019 | Oct 26, 2020 (355 d) |
| Michael Alvin Strahm | E*Trade Capital Management, LLC independent RIA | Calton & Associates, Inc. independent RIA | RIA to RIA | Oct 29, 2019 | Aug 3, 2021 (644 d) |
| Gregory Surat | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Oct 23, 2019 | Nov 21, 2019 |
| Brendan Archibald | E*Trade Capital Management, LLC independent RIA | Personal Capital Advisors Corporation independent RIA | RIA to RIA | Oct 18, 2019 | Oct 22, 2019 |
| James Kevin Convery | E*Trade Capital Management, LLC independent RIA | Johnson Brunetti independent RIA | RIA to RIA | Sep 23, 2019 | Nov 13, 2019 (51 d) |
| Michael Kostrub | E*Trade Capital Management, LLC independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Sep 16, 2019 | Sep 25, 2019 |
| James Thomas Carr | E*Trade Capital Management, LLC independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 16, 2019 | Oct 23, 2019 (37 d) |
| Jeffrey Beck | E*Trade Capital Management, LLC independent RIA | Personal Capital Advisors Corporation independent RIA | RIA to RIA | Aug 21, 2019 | Aug 20, 2020 (365 d) |
| Konrad Karwowski | E*Trade Capital Management, LLC independent RIA | Mercer Global Advisors Inc. independent RIA | RIA to RIA | Aug 20, 2019 | Aug 26, 2024 (1833 d) |
| George Thibault | E*Trade Capital Management, LLC independent RIA | Pnc Wealth Management BD affiliated | RIA to affiliated broker-dealer or bank | Aug 20, 2019 | Sep 3, 2019 |
| Anthony John Roselli | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2019 | Jul 9, 2020 (329 d) |
| Justin Nicholas Frys | E*Trade Capital Management, LLC independent RIA | Cherry Tree Wealth Management, LLC independent RIA | RIA to RIA | Jul 18, 2019 | Aug 14, 2019 |
| Brandon Loza | E*Trade Capital Management, LLC independent RIA | Creative Planning Institutional Advisors, LLC institutional | Other | Jul 18, 2019 | Apr 30, 2024 (1748 d) |
| Matthew Bond | E*Trade Capital Management, LLC independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jul 9, 2019 | Aug 1, 2019 |
| Patrick Thomas Campbell | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jul 9, 2019 | Jun 28, 2019 |
| Maurice Leonard Whittaker | E*Trade Capital Management, LLC independent RIA | Stansberry Asset Management, LLC independent RIA | RIA to RIA | Jun 11, 2019 | Jan 16, 2023 (1315 d) |
| Devin Michael Garrett | E*Trade Capital Management, LLC independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 11, 2019 | Jun 25, 2019 |
| Steven Ferdinand Fattorini | E*Trade Capital Management, LLC independent RIA | Key Investment Services LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 3, 2019 | Jan 3, 2022 (945 d) |
| Christian Pierce | E*Trade Capital Management, LLC independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jun 3, 2019 | Jul 16, 2019 (43 d) |
| Julia Ann Seydlitz Falchi | E*Trade Capital Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | May 24, 2019 | May 10, 2019 |
| Griffin Fittsporter | E*Trade Capital Management, LLC independent RIA | Voya Investment Management Co. LLC other | Other | May 10, 2019 | Aug 4, 2023 (1547 d) |
| Angel Macias | E*Trade Capital Management, LLC independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Mar 7, 2019 | Feb 10, 2020 (340 d) |
| Kenneth G Hayes | E*Trade Capital Management, LLC independent RIA | Truist Advisory Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 28, 2019 | May 17, 2019 (78 d) |
| Cedric Lloyd Blair | E*Trade Capital Management, LLC independent RIA | Fisher Investments independent RIA | RIA to RIA | Feb 28, 2019 | Mar 14, 2019 |
| Julie Alger | E*Trade Capital Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Feb 28, 2019 | Sep 6, 2019 (190 d) |
| Md Nayeem Hossain | E*Trade Capital Management, LLC independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jan 24, 2019 | Jan 30, 2019 |
| Kemon Decorey Neal | E*Trade Capital Management, LLC independent RIA | Td Ameritrade Investment Management, LLC independent RIA | RIA to RIA | Jan 17, 2019 | Feb 19, 2019 (33 d) |
| John P Scollo | E*Trade Capital Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Jan 8, 2019 | Mar 4, 2019 (55 d) |
| Harold Alvarado | E*Trade Capital Management, LLC independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 3, 2019 | Sep 18, 2019 (258 d) |
| Ali Poswal | E*Trade Capital Management, LLC independent RIA | Td Ameritrade, Inc. no RAUM | Other | Dec 21, 2018 | Jan 2, 2019 |
| Julius O Agbonbhase | E*Trade Capital Management, LLC independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Dec 14, 2018 | Nov 16, 2018 |
| Phoebe Del Castillo | E*Trade Capital Management, LLC independent RIA | Edward Jones national BD | RIA to affiliated broker-dealer or bank | Dec 7, 2018 | Jan 11, 2019 (35 d) |
801 moves match.