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
George ChuiE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 24, 2017Dec 5, 2017 (103 d)
David L SemonianE*Trade Capital Management, LLC otherUsaa Financial Planning Services no RAUMOtherAug 24, 2017Sep 29, 2017 (36 d)
Ka Ho NgaiE*Trade Capital Management, LLC otherCitigroup Global Markets Inc. otherOtherAug 10, 2017Aug 18, 2017
Bruce William ChapmanE*Trade Capital Management, LLC otherWells Fargo Advisors wirehouseOtherAug 4, 2017Dec 6, 2017 (124 d)
James Perry JohnsonE*Trade Capital Management, LLC otherPrimerica Advisors national BDOtherJul 24, 2017Jul 18, 2019 (724 d)
Dominique DavisE*Trade Capital Management, LLC otherTriad Advisors, LLC BD affiliatedOtherJul 14, 2017Mar 1, 2019 (595 d)
Thomas A HarlessE*Trade Capital Management, LLC otherPnc Wealth Management otherOtherJul 14, 2017Aug 8, 2017
Joan DuquetteE*Trade Capital Management, LLC otherPruco Securities, LLC otherOtherJul 14, 2017Aug 17, 2017 (34 d)
Daniel A. LandryE*Trade Capital Management, LLC otherJ.P. Morgan Securities LLC wirehouseOtherJul 14, 2017Jul 24, 2017
Robert Matthew DuerreE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJul 13, 2017Sep 21, 2017 (70 d)
Lance Paul EatonE*Trade Capital Management, LLC otherMorgan Stanley wirehouseOtherJul 11, 2017Jul 6, 2017
Brian Andrew TurnerE*Trade Capital Management, LLC otherVanguard Advisers, Inc. otherOtherJun 30, 2017Aug 7, 2017 (38 d)
Kenneth O'TooleE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 26, 2017Jun 20, 2017
Scott David CloutierE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 7, 2017Dec 19, 2017 (195 d)
Bruce TynanE*Trade Capital Management, LLC otherDecker Retirement Planning Inc. independent RIAOtherJun 7, 2017Aug 25, 2017 (79 d)
Matthew S DevineyE*Trade Capital Management, LLC otherCharles Schwab & Co., Inc. national BDOtherMay 26, 2017Jun 5, 2017
Brian Christopher CohrtE*Trade Capital Management, LLC otherCharles Schwab & Co., Inc. national BDOtherMay 15, 2017May 30, 2017
Jeremy Patrick OreillyE*Trade Capital Management, LLC otherJ.P. Morgan Securities LLC wirehouseOtherMay 3, 2017Aug 11, 2017 (100 d)
Anthony Lawrence McelynnE*Trade Capital Management, LLC otherPrudential Select Strategies LLC independent RIAOtherApr 24, 2017Oct 16, 2018 (540 d)
James Robert QuigleyE*Trade Capital Management, LLC otherCapital One Advisors, LLC otherOtherApr 17, 2017Sep 13, 2017 (149 d)
Russell Lewis HansenE*Trade Capital Management, LLC otherRaymond James Financial Services Advisors, Inc otherOtherApr 17, 2017Apr 25, 2017
Anthony Michael MathesonE*Trade Capital Management, LLC otherIntegrity Wealth Partners, LLC otherOtherApr 11, 2017Apr 21, 2017
Justin Daniel PophamE*Trade Capital Management, LLC otherCharles Schwab & Co., Inc. national BDOtherApr 11, 2017Apr 27, 2017
Briton Gregory RotellE*Trade Capital Management, LLC otherTruist Advisory Services, Inc. otherOtherMar 23, 2017Jun 1, 2017 (70 d)
Gregory Allen HutchesonE*Trade Capital Management, LLC otherScottrade Investment Management otherOtherMar 23, 2017Apr 25, 2017 (33 d)
Steven W NaylorE*Trade Capital Management, LLC otherUBS Financial Services Inc. wirehouseOtherMar 23, 2017Apr 12, 2017
John LeeE*Trade Capital Management, LLC otherTd Ameritrade, Inc. no RAUMOtherMar 22, 2017Mar 28, 2017
Yumi HirataE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherMar 7, 2017Mar 21, 2017
Jose A SolisE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 28, 2017Mar 15, 2017
Gary Anthony JonesE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 23, 2017Mar 1, 2017
Christopher Laurence SwaineE*Trade Capital Management, LLC otherCoastal Bridge Advisors otherOtherFeb 23, 2017Mar 8, 2017
Derek Paul ShadickE*Trade Capital Management, LLC otherSchwab Wealth Advisory, Inc. no RAUMOtherFeb 8, 2017Jul 8, 2026 (3437 d)
Jaron Michael ReynoldsE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherFeb 8, 2017Mar 7, 2017
Shannon M GallopE*Trade Capital Management, LLC otherWindsor Capital Management, LLC otherOtherJan 26, 2017Feb 10, 2017
Jennifer Michelle LopezE*Trade Capital Management, LLC otherCreative Planning otherOtherJan 26, 2017Feb 13, 2017
Victoria Elizabeth De OliveiraE*Trade Capital Management, LLC otherFrost Investment Services BD affiliatedOtherJan 26, 2017Nov 7, 2018 (650 d)
Kevin DesquitadoE*Trade Capital Management, LLC otherRaymond James Financial Services Advisors, Inc otherOtherJan 17, 2017Sep 5, 2017 (231 d)
Boriss BikosviliE*Trade Capital Management, LLC otherTd Ameritrade Investment Management, LLC otherOtherJan 9, 2017Jan 13, 2017
Timothy J. PepperE*Trade Capital Management, LLC otherTd Ameritrade, Inc. no RAUMOtherDec 16, 2016Jan 17, 2017 (32 d)
Janet L PetersonE*Trade Capital Management, LLC otherOppenheimer & Co. Inc. otherOtherDec 15, 2016Jan 26, 2017 (42 d)
Stacie K. WeberE*Trade Capital Management, LLC otherJ.P. Morgan Securities LLC wirehouseOtherNov 30, 2016Dec 9, 2016
Steven TranE*Trade Capital Management, LLC otherWells Fargo Advisors wirehouseOtherNov 2, 2016Dec 1, 2016
Jeffrey RitchE*Trade Capital Management, LLC otherJ.P. Morgan Securities LLC wirehouseOtherOct 14, 2016Oct 17, 2016
Hameeda BelloE*Trade Capital Management, LLC otherPrimerica Advisors national BDOtherOct 7, 2016Feb 15, 2017 (131 d)
Keenan WalterE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 29, 2016Sep 27, 2018 (728 d)
David Richard BurgessE*Trade Capital Management, LLC otherWealthfront Advisers LLC otherOtherSep 15, 2016Sep 16, 2016
Jonathon MerickelE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherSep 7, 2016Oct 11, 2016 (34 d)
Douglas L WoolbertE*Trade Capital Management, LLC otherEquitable Advisors, LLC national BDOtherAug 29, 2016Nov 29, 2017 (457 d)
Edward Denison MinerE*Trade Capital Management, LLC otherMorgan Stanley wirehouseOtherAug 29, 2016Oct 21, 2016 (53 d)
Gerard KinzelE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherAug 19, 2016Sep 9, 2016
Timothy Daniel GallagherE*Trade Capital Management, LLC otherLiberty Wealth Management, LLC otherOtherAug 19, 2016Jun 5, 2017 (290 d)
George Merrick EstesE*Trade Capital Management, LLC otherMercer Global Advisors Inc. otherOtherAug 8, 2016Oct 11, 2016 (64 d)
Matoumona Allen KinzonziE*Trade Capital Management, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherAug 8, 2016Nov 29, 2016 (113 d)
Derek B YoungE*Trade Capital Management, LLC otherCharles Schwab & Co., Inc. national BDOtherJul 29, 2016Aug 16, 2016
Justin Riley SpitlerE*Trade Capital Management, LLC otherCertified Advisory Corp otherOtherJul 29, 2016Jan 23, 2018 (543 d)
Samuel ZaretskyE*Trade Capital Management, LLC otherStrategic Advisers LLC national BDOtherJul 20, 2016Aug 10, 2016
Brett Jeffrey AkersE*Trade Capital Management, LLC otherFsa Investment Group, LLC otherOtherJul 11, 2016Jul 5, 2017 (359 d)
Terrence Clayne JonesE*Trade Capital Management, LLC otherScottrade Investment Management otherOtherJun 29, 2016Jan 30, 2017 (215 d)
Matthew Brian EllisE*Trade Capital Management, LLC otherTd Ameritrade Investment Management, LLC otherOtherJun 24, 2016Jul 14, 2016
Shawn Patrick BeanE*Trade Capital Management, LLC otherTd Ameritrade, Inc. no RAUMOtherJun 13, 2016Jun 2, 2017 (354 d)
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801 moves match.