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 Td Ameritrade, 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
Dylan James ConnollyTd Ameritrade, Inc. no RAUMFisher Investments independent RIAOtherAug 3, 2021Oct 15, 2021 (73 d)
Jean R VictorTd Ameritrade, Inc. no RAUMEmpower Advisory Group, LLC BD affiliatedOtherAug 2, 2021Oct 25, 2023 (814 d)
Thomas W KaminskiTd Ameritrade, Inc. no RAUMBenchmark Capital Group Ltd. independent RIAOtherJul 24, 2021Aug 17, 2021
Benjamin Ward JonesTd Ameritrade, Inc. no RAUMRaymond James Financial Services Advisors, Inc BD affiliatedOtherJul 16, 2021Dec 6, 2023 (873 d)
James BallorTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC otherOtherJul 14, 2021Sep 12, 2017
Kelvern ChenTd Ameritrade, Inc. no RAUMNorthwestern Mutual Investment Services,LLC no RAUMOtherJul 14, 2021Sep 17, 2021 (65 d)
Kevin Adam BranhamTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJul 13, 2021Apr 10, 2023 (636 d)
Robert L PengTd Ameritrade, Inc. no RAUMMorgan Stanley wirehouseOtherJul 7, 2021Jul 23, 2021
Christopher Nicholas WallackTd Ameritrade, Inc. no RAUMFisher Investments independent RIAOtherJul 7, 2021Aug 16, 2021 (40 d)
De Yuan HuangTd Ameritrade, Inc. no RAUMThe J.O. Johnson Group Inc. state registeredOtherJul 7, 2021Oct 14, 2021 (99 d)
Qingfeng LinTd Ameritrade, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJun 30, 2021Jul 22, 2021
Kimberly Michelle DavisTd Ameritrade, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJun 25, 2021Aug 10, 2021 (46 d)
Ashley Marie LigginsTd Ameritrade, Inc. no RAUMAlly Invest Advisors independent RIAOtherJun 22, 2021Sep 19, 2022 (454 d)
Patrick Joseph MarkunasTd Ameritrade, Inc. no RAUMFisher Investments independent RIAOtherJun 22, 2021Aug 18, 2021 (57 d)
Sarah Nicole HahsTd Ameritrade, Inc. no RAUMEdward Jones national BDOtherJun 15, 2021Jun 14, 2021
Charles UpchurchTd Ameritrade, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJun 8, 2021Jun 29, 2021
Jerad Ross FordTd Ameritrade, Inc. no RAUMWells Fargo Advisors wirehouseOtherMay 27, 2021Aug 13, 2021 (78 d)
William Kyle BirdTd Ameritrade, Inc. no RAUMFisher Investments independent RIAOtherMay 12, 2021Jun 17, 2021 (36 d)
Constantinos E LivaditisTd Ameritrade, Inc. no RAUMOppenheimer & Co. Inc. BD affiliatedOtherMay 12, 2021May 18, 2021
Lisa Hope HudsonTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC otherOtherMay 6, 2021Dec 28, 2015
Sonny David Edward LicataTd Ameritrade, Inc. no RAUME*Trade Capital Management, LLC independent RIAOtherMay 5, 2021May 17, 2021
Adam A BaldridgeTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherMay 1, 2021Mar 22, 2018
Vincent James SicaTd Ameritrade, Inc. no RAUMEdward Jones national BDOtherApr 20, 2021Apr 25, 2022 (370 d)
Jonathan Beck SchooleyTd Ameritrade, Inc. no RAUMAlly Invest Advisors independent RIAOtherApr 20, 2021Oct 6, 2021 (169 d)
Ryan Oliver DiversTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC otherOtherApr 20, 2021Jul 8, 2008
David CarlsonTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherApr 20, 2021Sep 27, 2021 (160 d)
Jason Michael GreggTd Ameritrade, Inc. no RAUMVanguard Advisers, Inc. BD affiliatedOtherApr 20, 2021Aug 14, 2026 (1942 d)
Allison Marie MalcolmTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC otherOtherApr 20, 2021Jun 24, 2013
James Raymond TurpenTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC otherOtherApr 20, 2021May 22, 2015
Marc Phillipe MongeonTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherApr 20, 2021Mar 5, 2018
Cynthia Yelda AudishTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherApr 13, 2021May 21, 2021 (38 d)
Nicholas J BallestrazzeTd Ameritrade, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 6, 2021May 5, 2021
Jakobi ConnorTd Ameritrade, Inc. no RAUMWells Fargo Advisors wirehouseOtherMar 31, 2021Jun 29, 2021 (90 d)
Li XuTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherMar 30, 2021Apr 19, 2021
Alec FernandesTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherMar 27, 2021Jun 25, 2018
Joseph Peter MaglioTd Ameritrade, Inc. no RAUMFisher Investments independent RIAOtherMar 16, 2021Mar 22, 2021
Michael Philip KalterTd Ameritrade, Inc. no RAUME*Trade Capital Management, LLC independent RIAOtherMar 3, 2021Sep 22, 2021 (203 d)
Ryan P MurphyTd Ameritrade, Inc. no RAUMWells Fargo Advisors wirehouseOtherFeb 23, 2021Apr 8, 2021 (44 d)
Lacey L BurdenTd Ameritrade, Inc. no RAUMMorgan Stanley wirehouseOtherFeb 17, 2021Mar 29, 2021 (40 d)
Brian Robert DoanTd Ameritrade, Inc. no RAUMU.S. Bancorp Investments, Inc. BD affiliatedOtherFeb 9, 2021Feb 26, 2021
Ryan James PetryTd Ameritrade, Inc. no RAUMZenith Investment Management, LLC state registeredOtherFeb 9, 2021Mar 13, 2021 (32 d)
Frank DeandreaTd Ameritrade, Inc. no RAUMJ.P. Morgan Private Wealth Advisors LLC BD affiliatedOtherFeb 9, 2021Jun 24, 2022 (500 d)
Jena DaakeTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherFeb 2, 2021Jan 23, 2020
Ryan Spencer AlexanderTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherJan 28, 2021Dec 7, 2018
Brian Michael BergmanTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 26, 2021Mar 10, 2021 (43 d)
Jeovanni BautistaTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherJan 22, 2021Jun 25, 2018
Brian FeeTd Ameritrade, Inc. no RAUMCitizens Securities, Inc. BD affiliatedOtherJan 20, 2021Sep 10, 2021 (233 d)
Thomas SchwartzTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 20, 2021Jun 1, 2021 (132 d)
Carrie Irene YatesTd Ameritrade, Inc. no RAUMHub Investment Partners, LLC otherOtherJan 20, 2021Apr 8, 2021 (78 d)
David CookTd Ameritrade, Inc. no RAUMTd Ameritrade Investment Management, LLC independent RIAOtherJan 14, 2021May 17, 2019
Daniel Bennett Goldman LevineTd Ameritrade, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJan 11, 2021Mar 8, 2021 (56 d)
Edward J ByrneTd Ameritrade, Inc. no RAUMUnfcu Advisors LLC mixed wealthOtherJan 11, 2021Jan 29, 2021
Daryl GaskinTd Ameritrade, Inc. no RAUME*Trade Capital Management, LLC independent RIAOtherJan 11, 2021Mar 4, 2021 (52 d)
Jeffrey M GoldbergTd Ameritrade, Inc. no RAUMRaymond James & Associates, Inc. national BDOtherJan 11, 2021Dec 15, 2021 (338 d)
Eric Theodore GastonTd Ameritrade, Inc. no RAUMRobert W. Baird & Co. Incorporated mixed wealthOtherJan 11, 2021Jun 4, 2021 (144 d)
Cara Jennifer VercelloneTd Ameritrade, Inc. no RAUMPnc Wealth Management BD affiliatedOtherJan 11, 2021Mar 3, 2022 (416 d)
Zubin HodiwallaTd Ameritrade, Inc. no RAUMAegis Capital Corp. BD affiliatedOtherJan 11, 2021Jan 2, 2025 (1452 d)
Craig S VentoTd Ameritrade, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJan 11, 2021Jul 29, 2021 (199 d)
Gavin James ParkerTd Ameritrade, Inc. no RAUMCitizens Securities, Inc. BD affiliatedOtherJan 11, 2021Jan 19, 2021
Edward L. GrayTd Ameritrade, Inc. no RAUMT. Rowe Price Advisory Services, Inc. independent RIAOtherJan 11, 2021Apr 7, 2021 (86 d)
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1,422 moves match.