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
William Joseph OstruzkaE*Trade Capital Management, LLC independent RIANorthcoast Asset Management LLC independent RIARIA to RIANov 29, 2018Dec 14, 2018
Andrew Corry BeckstrandE*Trade Capital Management, LLC independent RIACuso Financial Services, L.P. BD affiliatedRIA to affiliated broker-dealer or bankNov 29, 2018Nov 28, 2018
William Eric KernE*Trade Capital Management, LLC independent RIAEsi Financial Advisors BD affiliatedRIA to affiliated broker-dealer or bankNov 14, 2018Jan 11, 2019 (58 d)
Desmond GonzalezE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 30, 2018Nov 26, 2018
Robert Patrick RobinsonE*Trade Capital Management, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseOct 30, 2018Oct 30, 2018
Thomas Michael VitaleE*Trade Capital Management, LLC independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankOct 22, 2018Nov 8, 2018
Todd Elliott SmithE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors BD affiliatedRIA to affiliated broker-dealer or bankOct 5, 2018Dec 12, 2018 (68 d)
Michael Javier Smith-VaughanE*Trade Capital Management, LLC independent RIAPrio Wealth LP independent RIARIA to RIAOct 5, 2018Nov 2, 2018
Bonafe De Mayo SantosE*Trade Capital Management, LLC independent RIAOsaic Fa, Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 21, 2018Oct 1, 2018
Christopher Steven LoyE*Trade Capital Management, LLC independent RIAFsc Securities Corporation BD affiliatedRIA to affiliated broker-dealer or bankSep 11, 2018Sep 21, 2018
Catherine Sanchez GentyE*Trade Capital Management, LLC independent RIAEquitable Advisors, LLC national BDRIA to affiliated broker-dealer or bankAug 24, 2018Sep 12, 2018
Lauren M KennedyE*Trade Capital Management, LLC independent RIAUBS Financial Services Inc. wirehouseRIA to wirehouseAug 24, 2018Jan 17, 2019 (146 d)
Anthony John KraneE*Trade Capital Management, LLC independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankAug 8, 2018Aug 22, 2018
Heather Page PospisilE*Trade Capital Management, LLC independent RIAMorgan Stanley wirehouseRIA to wirehouseAug 8, 2018Oct 17, 2018 (70 d)
John Thomas BalestreireE*Trade Capital Management, LLC independent RIAPnc Wealth Management BD affiliatedRIA to affiliated broker-dealer or bankJul 27, 2018Sep 12, 2018 (47 d)
Ryan Patrick DwyerE*Trade Capital Management, LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankJul 27, 2018Aug 20, 2018
Ted Graham CampbellE*Trade Capital Management, LLC independent RIATd Ameritrade, Inc. no RAUMOtherJul 12, 2018Jul 19, 2018
Serkan UygurE*Trade Capital Management, LLC independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJul 12, 2018Jul 6, 2018
Sean Leighton BurkeE*Trade Capital Management, LLC independent RIAIntegrated Wealth Concepts LLC independent RIARIA to RIAJul 12, 2018Jul 17, 2018
Kevin MadiganE*Trade Capital Management, LLC independent RIAFisher Investments independent RIARIA to RIAJul 12, 2018Aug 15, 2018 (34 d)
Jason PayneE*Trade Capital Management, LLC independent RIAFidelity Personal And Workplace Advisors no RAUMRIA to a newly registered adviserJun 27, 2018Jul 19, 2018
Gregory DonahueE*Trade Capital Management, LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankJun 6, 2018Jul 19, 2018 (43 d)
Vince ZorskasE*Trade Capital Management, LLC independent RIAM&T Securities, Inc. unclassifiedOtherJun 6, 2018Apr 23, 2019 (321 d)
Jay Van GreenburgE*Trade Capital Management, LLC independent RIALefavi Wealth Management independent RIARIA to RIAMay 18, 2018Jun 4, 2018
Ali MahbodE*Trade Capital Management, LLC independent RIATruist Advisory Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankMay 15, 2018Jun 8, 2020 (755 d)
David Michael HackmeierE*Trade Capital Management, LLC independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankMay 2, 2018May 30, 2018
Robert Clifford GeweckeE*Trade Capital Management, LLC independent RIABancwest Investment Services, Inc. (Bwis) BD affiliatedRIA to affiliated broker-dealer or bankApr 30, 2018Sep 1, 2018 (124 d)
David Trevor MartinE*Trade Capital Management, LLC independent RIAKummer Financial Strategies, LLC independent RIARIA to RIAApr 30, 2018May 11, 2018
Cameron Peyton ClearE*Trade Capital Management, LLC independent RIAValic Financial Advisors, Inc. BD affiliatedRIA to affiliated broker-dealer or bankApr 30, 2018Apr 24, 2018
Alberto MagliozziE*Trade Capital Management, LLC independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankApr 30, 2018May 16, 2018
Abraham ChoiE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseApr 30, 2018Aug 2, 2018 (94 d)
David Lloyd AllredE*Trade Capital Management, LLC independent RIACharles Schwab & Co., Inc. national BDRIA to affiliated broker-dealer or bankApr 30, 2018Feb 15, 2019 (291 d)
Daniel James ZacharyE*Trade Capital Management, LLC independent RIAEdward Jones national BDRIA to affiliated broker-dealer or bankApr 30, 2018Apr 13, 2018
Sean Patrick GlazierE*Trade Capital Management, LLC independent RIABoyd Watterson Asset Management, LLC otherOtherApr 19, 2018May 31, 2018 (42 d)
Michael Eugene GeitnerE*Trade Capital Management, LLC independent RIAFinancial Advocates Investment Management otherOtherApr 19, 2018Apr 4, 2018
Kyle HechtE*Trade Capital Management, LLC independent RIATd Ameritrade Investment Management, LLC independent RIARIA to RIAApr 19, 2018May 11, 2018
Amiel VolinskyE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseApr 19, 2018May 4, 2018
Jonathon K HubbardE*Trade Capital Management, LLC independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseApr 19, 2018May 25, 2018 (36 d)
William Jeffrey LoertscherE*Trade Capital Management, LLC independent RIAEquitable Advisors, LLC national BDRIA to affiliated broker-dealer or bankApr 12, 2018May 21, 2018 (39 d)
Bernadette Marie LawE*Trade Capital Management, LLC independent RIAEdelman Financial Services, LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 30, 2018Mar 20, 2018
Billy Joe CrossE*Trade Capital Management, LLC independent RIAValic Financial Advisors, Inc. otherOtherMar 2, 2018Mar 1, 2018
Christopher G PfauE*Trade Capital Management, LLC independent RIATransamerica Retirement Advisors, LLC otherOtherMar 2, 2018Mar 27, 2018
Brett William SperinE*Trade Capital Management, LLC independent RIAFisher Investments independent RIARIA to RIAFeb 20, 2018May 9, 2018 (78 d)
Joshua Neil SlusarczykE*Trade Capital Management, LLC otherRaymond James & Associates, Inc. national BDOtherFeb 14, 2018Jan 16, 2018
Aaron Wade RichterE*Trade Capital Management, LLC otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherJan 10, 2018Jun 11, 2018 (152 d)
Erik Blaine TarpleyE*Trade Capital Management, LLC otherTd Ameritrade Investment Management, LLC independent RIAOtherDec 19, 2017Apr 19, 2018 (121 d)
Daniel Anthony ArceE*Trade Capital Management, LLC otherMorgan Stanley wirehouseOtherDec 19, 2017Dec 22, 2017
Trask Andrew YoungE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherDec 19, 2017Jan 17, 2018
Jeffrey WarneE*Trade Capital Management, LLC otherWells Fargo Advisors wirehouseOtherDec 13, 2017Jan 31, 2018 (49 d)
Tyler PayneE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherNov 22, 2017Jan 10, 2018 (49 d)
Justan StringhamE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherNov 16, 2017Jan 17, 2018 (62 d)
Samantha Rae GriecoE*Trade Capital Management, LLC otherCharles Schwab & Co., Inc. national BDOtherOct 27, 2017Nov 20, 2017
Ryan Paul ByrdE*Trade Capital Management, LLC otherFisher Investments otherOtherOct 5, 2017Oct 18, 2017
Robert HirtE*Trade Capital Management, LLC otherPruco Securities, LLC BD affiliatedOtherOct 5, 2017Apr 26, 2019 (568 d)
Korey Jon DavisE*Trade Capital Management, LLC otherFidelity Personal And Workplace Advisors BD affiliatedOtherOct 5, 2017Sep 3, 2019 (698 d)
Nicholas Michael CurcioE*Trade Capital Management, LLC otherAdvice And Planning Services BD affiliatedOtherOct 2, 2017Aug 1, 2025 (2860 d)
Valeri Jan BishopE*Trade Capital Management, LLC otherLPL Financial LLC independent RIAOtherSep 22, 2017Apr 24, 2018 (214 d)
Julian Maurice PouncyE*Trade Capital Management, LLC otherNorthwestern Mutual Investment Services,LLC no RAUMOtherSep 22, 2017Jun 1, 2018 (252 d)
Joshua J HendricksE*Trade Capital Management, LLC otherSofi Wealth LLC independent RIAOtherSep 19, 2017Nov 9, 2018 (416 d)
Ryan Thomas FisherE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherAug 24, 2017Sep 5, 2017
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801 moves match.