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 Capital Client Group, 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.

AdvisorFromToTypeLeftRegistered
James Humpherson MollettCapital Client Group, Inc. no RAUMThornburg Investment Management Inc asset managerOtherAug 5, 2019Mar 3, 2020 (211 d)
Andrew Michael BrandtCapital Client Group, Inc. no RAUMRBC Capital Markets, LLC national BDOtherJul 9, 2019Aug 6, 2019
Russell ByromCapital Client Group, Inc. no RAUMWorld Investment Advisors, LLC BD affiliatedOtherJun 18, 2019Nov 5, 2019 (140 d)
Steven James ZidCapital Client Group, Inc. no RAUMMorgan Stanley wirehouseOtherMay 24, 2019May 23, 2019
Robert Clinton WillisCapital Client Group, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 29, 2019May 30, 2019 (31 d)
Grant Henry SaundersCapital Client Group, Inc. no RAUMOrion Portfolio Solutions, LLC BD affiliatedOtherNov 5, 2018Dec 5, 2023 (1856 d)
Nicole Chamberlin McgoffCapital Client Group, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherOct 15, 2018Oct 29, 2018
Jason Michael SnowCapital Client Group, Inc. no RAUMCooper Capital Group no RAUMOtherSep 28, 2018Sep 16, 2019 (353 d)
Adam Christopher VilfordiCapital Client Group, Inc. no RAUMUBS Financial Services Inc. wirehouseOtherAug 28, 2018Sep 10, 2018
Jeffrey David EismanCapital Client Group, Inc. no RAUMOneamerica Securities, Inc. BD affiliatedOtherJul 19, 2018Oct 10, 2018 (83 d)
Ronald Andrew LeblancCapital Client Group, Inc. no RAUMWwk Advisors, LLC mixed wealthOtherApr 17, 2018Jan 29, 2020 (652 d)
Jonathan Charles YoungCapital Client Group, Inc. no RAUMCuna Brokerage Services, Inc. otherOtherJan 23, 2018Feb 8, 2018
Derek Jason BonnerCapital Client Group, Inc. no RAUMFisher Investments independent RIAOtherJan 8, 2018Apr 12, 2022 (1555 d)
Peter EnglundCapital Client Group, Inc. no RAUMCetera Advisor Networks LLC BD affiliatedOtherNov 16, 2017Jun 9, 2022 (1666 d)
Santpal Singh BrarCapital Client Group, Inc. no RAUMBlackrock Investment Management, LLC otherOtherNov 2, 2017Jan 10, 2018 (69 d)
Dillon Willis LullCapital Client Group, Inc. no RAUMBlackrock Investment Management, LLC otherOtherSep 18, 2017Sep 20, 2017
Danielle Marie WebsterCapital Client Group, Inc. no RAUMOneamerica Securities, Inc. otherOtherAug 30, 2017Nov 13, 2017 (75 d)
Austin LaneCapital Client Group, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJun 16, 2017Jun 20, 2017
Christopher Nicholas GacomCapital Client Group, Inc. no RAUMGreenline Wealth Management independent RIAOtherJun 5, 2017Jul 2, 2024 (2584 d)
Renee Annette DegnerCapital Client Group, Inc. no RAUMRaymond James & Associates, Inc. national BDOtherJun 2, 2017Jan 31, 2023 (2069 d)
Kevin Michael ClemsonCapital Client Group, Inc. no RAUMMmc Securities LLC no RAUMOtherJun 2, 2017Sep 14, 2017 (104 d)
Kenneth S KrellCapital Client Group, Inc. no RAUMPrincipal Securities, Inc. otherOtherMay 12, 2017Sep 19, 2017 (130 d)
Scott William BlaneyCapital Client Group, Inc. no RAUMSecurities America Advisors, Inc. BD affiliatedOtherFeb 10, 2017Jan 23, 2023 (2173 d)
Thea Rae LewisCapital Client Group, Inc. no RAUMCharles Schwab & Co., Inc. national BDOtherJan 31, 2017Aug 9, 2017 (190 d)
Kevin Gerard BettsCapital Client Group, Inc. no RAUMRBC Rochdale, LLC BD affiliatedOtherJan 31, 2017Jul 24, 2018 (539 d)
Brett Derek GallingerCapital Client Group, Inc. no RAUMTransamerica Financial Advisors, LLC otherOtherJan 31, 2017Aug 30, 2017 (211 d)
Barton Duane LindemannCapital Client Group, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherOct 12, 2016Dec 13, 2017 (427 d)
Thomas Wayne LucasCapital Client Group, Inc. no RAUMWells Fargo Advisors wirehouseOtherAug 3, 2016Aug 2, 2016
Emily Ann FiabaneCapital Client Group, Inc. no RAUMEquitable Advisors, LLC national BDOtherFeb 22, 2016Aug 10, 2016 (170 d)
Mark BuchananCapital Client Group, Inc. no RAUMPrincipal Securities, Inc. otherOtherFeb 22, 2016Mar 15, 2016
Adrienne Elizabeth VollmerCapital Client Group, Inc. no RAUMEdward Jones national BDOtherNov 20, 2015Sep 8, 2026 (3945 d)
James Peter EvansCapital Client Group, Inc. no RAUMCapital Group Private Client Services, Inc. independent RIAOtherOct 19, 2015Apr 1, 2025 (3452 d)
Suzette Marie RothbergCapital Client Group, Inc. no RAUMPrestige Wealth Management otherOtherSep 9, 2015Sep 25, 2015
Thomas WiegandCapital Client Group, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherAug 19, 2015May 13, 2016 (268 d)
Andrew Richard LipseyCapital Client Group, Inc. no RAUMRaymond James & Associates, Inc. national BDOtherJun 22, 2015Jul 21, 2015
Kostas Kenneth LueckerCapital Client Group, Inc. no RAUMUBS Financial Services Inc. wirehouseOtherMay 11, 2015Aug 19, 2015 (100 d)
Thomas Patrick HalloranCapital Client Group, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 27, 2015Jun 29, 2015 (63 d)
Maegen Emily ChaudryCapital Client Group, Inc. no RAUMClearbridge Investments, LLC otherOtherMar 19, 2015Dec 6, 2016 (628 d)
Justin AppelCapital Client Group, Inc. no RAUMNatixis Advisors, LLC otherOtherMar 19, 2015Aug 11, 2016 (511 d)
David Duane SmithCapital Client Group, Inc. no RAUMCredit Suisse Securities (USA) LLC otherOtherOct 29, 2014Nov 12, 2014
Roger Glen StukkieCapital Client Group, Inc. no RAUMWaddell & Reed otherOtherOct 3, 2014Oct 22, 2014
Jonathan AmentCapital Client Group, Inc. no RAUMKovack Advisors, Inc. otherOtherSep 9, 2014Sep 26, 2014
Michael Lawrence MannCapital Client Group, Inc. no RAUMEmerson Equity LLC otherOtherAug 21, 2014Feb 13, 2020 (2002 d)
Casey Evan ClarkCapital Client Group, Inc. no RAUMPrincipal Securities, Inc. BD affiliatedOtherAug 6, 2014Sep 18, 2023 (3330 d)
Julia Michelle PetersenCapital Client Group, Inc. no RAUMEmployer Retirement Investment Advisors, LLC otherOtherDec 10, 2013Jul 25, 2014 (227 d)
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165 moves match.