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
Jerome John WojnickiTd Ameritrade, Inc. no RAUMVanguard Advisers, Inc. BD affiliatedOtherJan 11, 2021Feb 22, 2021 (42 d)
Leland R WhiteTd Ameritrade, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJan 11, 2021Jan 12, 2021
Kevin Scott GoodTd Ameritrade, Inc. no RAUMU.S. Bancorp Investments, Inc. BD affiliatedOtherJan 11, 2021Aug 27, 2021 (228 d)
Paul Joseph PhillipsTd Ameritrade, Inc. no RAUMSynergy Asset Management, LLC independent RIAOtherJan 11, 2021Feb 3, 2023 (753 d)
Steven Frank ManfredoniaTd Ameritrade, Inc. no RAUMAllworth Financial, L.P. BD affiliatedOtherJan 11, 2021Apr 5, 2022 (449 d)
Timothy Leo SchmidtTd Ameritrade, Inc. no RAUMWainwright Investment Counsel LLC mixed wealthOtherJan 11, 2021Dec 23, 2021 (346 d)
Caroline MaglioTd Ameritrade, Inc. no RAUMEmpirical Wealth Management independent RIAOtherJan 11, 2021Feb 22, 2021 (42 d)
Cohen ReaganTd Ameritrade, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJan 11, 2021Jul 29, 2021 (199 d)
Tj BelcherTd Ameritrade, Inc. no RAUMEdelman Financial Engines mixed wealthOtherJan 11, 2021Mar 15, 2021 (63 d)
Curt Arri SchultzbergTd Ameritrade, Inc. no RAUMAmerican Portfolios Advisors, Inc independent RIAOtherJan 11, 2021Nov 12, 2021 (305 d)
Bartholomew Timothy-Dylan MacklerTd Ameritrade, Inc. no RAUMRaymond James Financial Services Advisors, Inc BD affiliatedOtherJan 11, 2021Dec 13, 2022 (701 d)
Matthew S RamosTd Ameritrade, Inc. no RAUMMoney Concepts Advisory Service BD affiliatedOtherJan 11, 2021Jan 5, 2022 (359 d)
Shawn Patrick GormleyTd Ameritrade, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJan 11, 2021Feb 24, 2021 (44 d)
Timothy James WongTd Ameritrade, Inc. no RAUMMorgan Stanley wirehouseOtherJan 11, 2021Mar 31, 2021 (79 d)
Jason YoungTd Ameritrade, Inc. no RAUMEmpower Advisory Group, LLC BD affiliatedOtherJan 11, 2021Apr 27, 2022 (471 d)
Peter William SpiteriTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 11, 2021Jun 17, 2021 (157 d)
Richard Michael BodenTd Ameritrade, Inc. no RAUMMorgan Stanley wirehouseOtherJan 11, 2021Jan 20, 2021
James Kirk BairdTd Ameritrade, Inc. no RAUMNorthwestern Mutual Investment Services,LLC no RAUMOtherJan 11, 2021Feb 17, 2021 (37 d)
Scott Edward MccaffreyTd Ameritrade, Inc. no RAUMAdvice And Planning Services BD affiliatedOtherJan 11, 2021Nov 7, 2025 (1761 d)
Allen Paul BraunbeckTd Ameritrade, Inc. no RAUME*Trade Capital Management, LLC independent RIAOtherJan 11, 2021May 26, 2021 (135 d)
Greg Robert BeacomTd Ameritrade, Inc. no RAUMKey Investment Services LLC BD affiliatedOtherJan 11, 2021Jan 6, 2021
Bao Q LeTd Ameritrade, Inc. no RAUME*Trade Capital Management, LLC independent RIAOtherJan 11, 2021Jan 14, 2021
Joseph Anthony JohnsonTd Ameritrade, Inc. no RAUMThe J.O. Johnson Group Inc. state registeredOtherJan 11, 2021Jul 8, 2021 (178 d)
David Anthony PlanteTd Ameritrade, Inc. no RAUMFort Pitt Capital Group, LLC independent RIAOtherJan 11, 2021Jul 10, 2024 (1276 d)
Austin Dulaney SchutzTd Ameritrade, Inc. no RAUMPruco Securities, LLC BD affiliatedOtherJan 11, 2021Nov 16, 2021 (309 d)
Joseph Francis IppolitoTd Ameritrade, Inc. no RAUMEdelman Financial Engines mixed wealthOtherJan 11, 2021Feb 8, 2022 (393 d)
William Leonard BerlinTd Ameritrade, Inc. no RAUMMainstay Capital Management, LLC independent RIAOtherJan 11, 2021Mar 3, 2026 (1877 d)
Daniel Vincent QuinnTd Ameritrade, Inc. no RAUMFacet independent RIAOtherJan 11, 2021Aug 5, 2021 (206 d)
Brandi Michele ShipwashTd Ameritrade, Inc. no RAUMRaymond James Financial Services Advisors, Inc BD affiliatedOtherJan 11, 2021Feb 2, 2026 (1848 d)
Ralph Eugene HughesTd Ameritrade, Inc. no RAUMAlly Invest Advisors independent RIAOtherJan 11, 2021Nov 4, 2021 (297 d)
Joey S KatzTd Ameritrade, Inc. no RAUME*Trade Capital Management, LLC independent RIAOtherJan 11, 2021Jul 8, 2021 (178 d)
Troy LemerTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 11, 2021Mar 16, 2021 (64 d)
Paul CorreiaTd Ameritrade, Inc. no RAUMSantander Securities BD affiliatedOtherJan 11, 2021May 5, 2022 (479 d)
Douglas Charles TysonTd Ameritrade, Inc. no RAUMManning & Napier Advisors, LLC mixed wealthOtherJan 11, 2021Dec 7, 2022 (695 d)
Sonya Lydon LoganTd Ameritrade, Inc. no RAUMSpire Wealth Management, LLC BD affiliatedOtherJan 11, 2021Feb 11, 2021 (31 d)
Scott MilaniTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 11, 2021Apr 25, 2022 (469 d)
Loren Jon PiotrowskiTd Ameritrade, Inc. no RAUMU.S. Bancorp Investments, Inc. BD affiliatedOtherJan 11, 2021Jun 21, 2021 (161 d)
Christopher Ronald HopkinsTd Ameritrade, Inc. no RAUMExecutive Wealth Management, LLC independent RIAOtherJan 11, 2021Mar 3, 2022 (416 d)
Ray Ramos BartolomeTd Ameritrade, Inc. no RAUMFalcon Wealth Planning, Inc. independent RIAOtherJan 11, 2021Nov 16, 2021 (309 d)
Jamie Dewayne CarmackTd Ameritrade, Inc. no RAUMNorthwestern Mutual Investment Services,LLC no RAUMOtherJan 11, 2021Feb 16, 2021 (36 d)
Joseph Frederick PedrigiTd Ameritrade, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJan 11, 2021Apr 27, 2021 (106 d)
Benjamin Lewis SwainTd Ameritrade, Inc. no RAUMEquitable Advisors, LLC national BDOtherJan 11, 2021Feb 1, 2021
Joseph Francis CilibertiTd Ameritrade, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 11, 2021Jan 6, 2021
Shachee Pankaj GandhiTd Ameritrade, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 11, 2021Feb 22, 2021 (42 d)
Demetrius Gill LevantiniTd Ameritrade, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJan 11, 2021Apr 5, 2021 (84 d)
Steven Joseph DiasTd Ameritrade, Inc. no RAUMCitizens Securities, Inc. BD affiliatedOtherJan 11, 2021May 24, 2021 (133 d)
Shane Eli MillerTd Ameritrade, Inc. no RAUMUnited Asset Strategies Inc. independent RIAOtherJan 11, 2021Jul 11, 2021 (181 d)
Neil M PoulicakosTd Ameritrade, Inc. no RAUMPortfolio Medics, LLC independent RIAOtherJan 11, 2021Jan 25, 2022 (379 d)
Andrew Michael MachenheimerTd Ameritrade, Inc. no RAUMTransamerica Financial Advisors, LLC BD affiliatedOtherJan 11, 2021Jun 10, 2021 (150 d)
Paul James LiffengrenTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 11, 2021May 6, 2021 (115 d)
Roman YakubovTd Ameritrade, Inc. no RAUMCitigroup Global Markets Inc. BD affiliatedOtherJan 11, 2021Jun 10, 2022 (515 d)
Kenji David WilliamsTd Ameritrade, Inc. no RAUMOsaic Fa, Inc. BD affiliatedOtherJan 11, 2021Feb 11, 2021 (31 d)
Benjamin A LockwoodTd Ameritrade, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 11, 2021Apr 23, 2021 (102 d)
Ebonie Maria HackettTd Ameritrade, Inc. no RAUMMorgan Stanley wirehouseOtherJan 11, 2021Jun 17, 2021 (157 d)
Anthony Rex MasonTd Ameritrade, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJan 11, 2021Jan 6, 2026 (1821 d)
Thomas Jason WorsleyTd Ameritrade, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherJan 11, 2021Feb 26, 2021 (46 d)
Margaret Monica CzyzTd Ameritrade, Inc. no RAUMTd Private Client Wealth LLC BD affiliatedOtherJan 11, 2021Mar 16, 2023 (794 d)
Charles D FullerTd Ameritrade, Inc. no RAUMMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherJan 11, 2021Feb 8, 2021
David Teninty ClawsonTd Ameritrade, Inc. no RAUMAldrich Wealth LP independent RIAOtherJan 11, 2021Oct 20, 2021 (282 d)
Paul GerardTd Ameritrade, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherJan 11, 2021Mar 27, 2021 (75 d)
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1,422 moves match.