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 Moors & Cabot, Inc
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 |
|---|---|---|---|---|---|
| Mark Kuniholm | Moors & Cabot, Inc BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2026 | Feb 19, 2026 |
| Michael Otoole | Moors & Cabot, Inc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Feb 12, 2026 (100 d) |
| Mark Magnusen | Moors & Cabot, Inc BD affiliated | Rmr Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2025 | Oct 17, 2025 |
| James Walter Pillow | Moors & Cabot, Inc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2025 | Mar 26, 2025 |
| Michael K Warne | Moors & Cabot, Inc BD affiliated | Synergy Capital no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 3, 2025 | Feb 24, 2025 |
| Joseph L. Duran | Moors & Cabot, Inc BD affiliated | Synergy Capital no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 3, 2025 | Feb 24, 2025 |
| Peter Matthew Thorbahn | Moors & Cabot, Inc BD affiliated | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2025 | Mar 7, 2025 (37 d) |
| Charley A. Borek | Moors & Cabot, Inc BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2024 | Jun 21, 2024 |
| Michael Anthony Spartz | Moors & Cabot, Inc BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2023 | Jul 5, 2023 |
| Gregory Joseph Lavine | Moors & Cabot, Inc BD affiliated | Parsons Capital Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2023 | Jun 4, 2023 |
| Daniel Francis Cosgrove | Moors & Cabot, Inc BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 18, 2023 | Apr 17, 2023 |
| Kristopher Sean Phillips | Moors & Cabot, Inc BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 24, 2023 |
| Mary V Mann | Moors & Cabot, Inc BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 17, 2022 | Dec 15, 2022 (59 d) |
| Yanilsa Carmen Pinkus | Moors & Cabot, Inc BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 5, 2022 | Apr 26, 2022 |
| Zachary Earl Young | Moors & Cabot, Inc BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2021 | Jun 24, 2021 |
| Timothy Steven Smisek | Moors & Cabot, Inc BD affiliated | Fortress Wealth Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 5, 2021 | Feb 8, 2021 (34 d) |
| George Edward Thiergartner | Moors & Cabot, Inc BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2020 | Sep 14, 2020 |
| Spencer Howard Larson | Moors & Cabot, Inc BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2020 | Aug 31, 2020 |
| Michael Christopher Buchcar | Moors & Cabot, Inc BD affiliated | Blackrock Investment Management, LLC other | Other | Aug 6, 2020 | Jun 29, 2022 (692 d) |
| Kelly A Lawrence | Moors & Cabot, Inc BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2020 | Jun 22, 2020 |
| Ashley W Folkes | Moors & Cabot, Inc BD affiliated | Bridgeworth Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2020 | Aug 9, 2021 (559 d) |
| Michael Egan | Moors & Cabot, Inc BD affiliated | First Trust Investment Solutions L.P. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2020 | Oct 17, 2023 (1380 d) |
| Robert M Carr | Moors & Cabot, Inc BD affiliated | Gyroscope Capital Management Group LLC other | Other | Jan 6, 2020 | Dec 23, 2009 |
| Anthony Louis Cirillo | Moors & Cabot, Inc BD affiliated | Gyroscope Capital Management Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2020 | Jul 12, 2019 |
| Alan Walton Sharpe | Moors & Cabot, Inc BD affiliated | Arthur Wood Investment Advisors Corp unclassified | Other | Dec 18, 2019 | Dec 9, 2020 (357 d) |
| Peter Crellin Smith | Moors & Cabot, Inc BD affiliated | Crellin Capital, LLC unclassified | Other | Nov 30, 2018 | Oct 1, 2013 |
| Bennett Whitney Smith | Moors & Cabot, Inc BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Nov 30, 2018 | Nov 6, 2018 |
| Edward Lonnie Dover | Moors & Cabot, Inc BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Sep 28, 2018 | Oct 29, 2018 (31 d) |
| Oliver Ellsworth Kelley | Moors & Cabot, Inc BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 25, 2018 | Oct 26, 2018 (31 d) |
| Robin B Hanover | Moors & Cabot, Inc other | Capitalrock Financial, LLC independent RIA | Other | May 1, 2018 | Jun 26, 2018 (56 d) |
| David W Ingle | Moors & Cabot, Inc other | Vibrant Wealth state registered | Other | Apr 2, 2018 | Apr 4, 2018 |
| John Patrick Keating | Moors & Cabot, Inc other | Oppenheimer & Co. Inc. other | Other | Feb 23, 2018 | Feb 27, 2018 |
| Brendan Edward Callahan | Moors & Cabot, Inc other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 1, 2017 | Jul 6, 2017 (35 d) |
| David Alan Farbman | Moors & Cabot, Inc other | Cantella & Co., Inc. other | Other | Mar 24, 2017 | Mar 27, 2017 |
| Richard Scott Karp | Moors & Cabot, Inc other | Osaic Fa, Inc. other | Other | Dec 20, 2016 | Dec 20, 2016 |
| John P Freund | Moors & Cabot, Inc other | Kovack Advisors, Inc. other | Other | Jul 5, 2016 | Jul 13, 2016 |
| Aaron Michael Pierce | Moors & Cabot, Inc other | Gyroscope Capital Management Group LLC other | Other | Jan 4, 2016 | Nov 26, 2014 |
| Timothy Patrick Garrettson | Moors & Cabot, Inc other | Oppenheimer & Co. Inc. other | Other | Aug 6, 2014 | Aug 4, 2014 |
| Michael John Gordon | Moors & Cabot, Inc other | Capital Guardian Wealth Management, LLC other | Other | Jul 14, 2014 | Jul 8, 2014 |
| Mary Kathleen Newhouse | Moors & Cabot, Inc other | Capital Guardian Wealth Management, LLC other | Other | Jul 14, 2014 | Jul 8, 2014 |
| John R Stone | Moors & Cabot, Inc other | Ameriprise Financial Services, LLC national BD | Other | Dec 5, 2012 | Dec 4, 2012 |
| Wade Lee Rowdon | Moors & Cabot, Inc other | Jackson Wealth Management, LLC other | Other | Nov 28, 2012 | Dec 13, 2012 |
| John Joseph Olohan | Moors & Cabot, Inc other | Ameriprise Financial Services, LLC national BD | Other | Nov 20, 2012 | Nov 2, 2012 |
| Ben Joyce | Moors & Cabot, Inc other | Wells Fargo Advisors wirehouse | Other | Aug 1, 2012 | Aug 1, 2012 |
| Jeffrey Wayne Askins | Moors & Cabot, Inc other | LPL Financial LLC other | Other | Dec 15, 2011 | Dec 21, 2011 |
| Bob Palmer Hodges | Moors & Cabot, Inc other | Capital Guardian Wealth Management, LLC other | Other | Oct 13, 2010 | Nov 1, 2010 |
| Mitchell Blair Thornton | Moors & Cabot, Inc other | Northern Trust Securities, Inc other | Other | Aug 20, 2010 | Jul 11, 2016 (2152 d) |
| David Alan Bender | Moors & Cabot, Inc other | Jesup & Lamont Securities Corp unclassified | Other | Sep 25, 2009 | Dec 9, 2009 (75 d) |
| James Patrick Panos | Moors & Cabot, Inc other | Westminster Financial Advisory Corp other | Other | Jun 16, 2009 | Jun 30, 2009 |
| James Paul Cooper | Moors & Cabot, Inc other | Beacon Pointe Advisors, LLC independent RIA | Other | May 15, 2009 | Mar 10, 2022 (4682 d) |
| Marc Steven Wolff | Moors & Cabot, Inc other | Beacon Pointe Advisors, LLC independent RIA | Other | Apr 22, 2009 | Mar 7, 2025 (5798 d) |
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51 moves match.