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 Northern Trust Securities, 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 |
|---|---|---|---|---|---|
| Henry Philip Rawlins | Northern Trust Securities, Inc BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2026 | Aug 11, 2026 |
| Dillon John Kane | Northern Trust Securities, Inc BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2026 | Jul 23, 2026 |
| George Hurley | Northern Trust Securities, Inc BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2026 | May 21, 2026 |
| Matthew John Williams | Northern Trust Securities, Inc BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 19, 2026 | May 15, 2026 |
| Kevin J Ryan | Northern Trust Securities, Inc BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2026 | Mar 9, 2026 |
| Andrea Nicole Atencio | Northern Trust Securities, Inc BD affiliated | Schulz Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2025 | Aug 31, 2026 (300 d) |
| Gregory Shinderman | Northern Trust Securities, Inc BD affiliated | Robinhood Asset Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Apr 30, 2026 (177 d) |
| Daniel John Collins | Northern Trust Securities, Inc BD affiliated | William Blair & Company L.L.C. BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2025 | Nov 5, 2025 |
| Casey A Prisco | Northern Trust Securities, Inc BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 14, 2025 | Nov 4, 2025 |
| Cory Brian Finke | Northern Trust Securities, Inc BD affiliated | Roth Capital Partners, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 22, 2025 | Sep 23, 2025 |
| Matthew Corbitt | Northern Trust Securities, Inc BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 25, 2025 | Jul 29, 2025 |
| Kollin Schaudt | Northern Trust Securities, Inc BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2025 | Jul 3, 2025 |
| Michael Bibbiano | Northern Trust Securities, Inc BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 10, 2025 | Jul 3, 2025 |
| Christopher Daniel Ferraro | Northern Trust Securities, Inc BD affiliated | Highpoint Planning Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2025 | Apr 10, 2025 |
| Matthew Thomas Boswell | Northern Trust Securities, Inc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 8, 2024 | Apr 18, 2025 (345 d) |
| Kimberly Victoria Rian Haupin | Northern Trust Securities, Inc BD affiliated | Bny Mellon Securities Corporation other | Other | Feb 9, 2024 | Feb 19, 2024 |
| Andrew Grabato | Northern Trust Securities, Inc BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2024 | Feb 2, 2024 |
| Mariano M Perez | Northern Trust Securities, Inc BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 1, 2023 | Jan 16, 2024 (168 d) |
| Frank Becker | Northern Trust Securities, Inc BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2023 | Aug 2, 2023 |
| Mark Dragoslovich | Northern Trust Securities, Inc BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 7, 2023 | Feb 10, 2023 |
| Paul Michael Jocson Reyes | Northern Trust Securities, Inc BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 11, 2023 | Jan 30, 2023 |
| Matthew Christopher Ochoa | Northern Trust Securities, Inc BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2022 | Jan 9, 2023 (34 d) |
| Daniel Schuld | Northern Trust Securities, Inc BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 25, 2022 | Apr 19, 2024 (603 d) |
| Christopher Dale Brunner | Northern Trust Securities, Inc BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2022 | Aug 3, 2022 (50 d) |
| Albert Won Kim | Northern Trust Securities, Inc BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2022 | May 23, 2022 |
| Marisa Gutierrez | Northern Trust Securities, Inc BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2022 | May 3, 2022 (46 d) |
| Christoher W Barnes | Northern Trust Securities, Inc BD affiliated | Blackrock Investment Management, LLC other | Other | Feb 11, 2022 | Mar 22, 2022 (39 d) |
| Jesus Perez | Northern Trust Securities, Inc BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2021 | Feb 24, 2022 (64 d) |
| Andrew Gregory Castro | Northern Trust Securities, Inc BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2021 | Feb 8, 2022 (56 d) |
| Tyler J Tevich | Northern Trust Securities, Inc BD affiliated | Lido independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2021 | Dec 15, 2021 |
| Lamar Remy | Northern Trust Securities, Inc BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 4, 2021 | Oct 13, 2021 |
| Lukas O.M. Bridenbeck | Northern Trust Securities, Inc BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 3, 2021 | Aug 4, 2021 (93 d) |
| Todd Lee Schossow | Northern Trust Securities, Inc BD affiliated | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Jul 20, 2021 (165 d) |
| Tonya Andrello | Northern Trust Securities, Inc BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 29, 2021 | Feb 4, 2021 |
| Richard Horwitch | Northern Trust Securities, Inc BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 19, 2021 | Jun 30, 2022 (527 d) |
| Matthew J Thompson | Northern Trust Securities, Inc BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2020 | Mar 18, 2021 (93 d) |
| Anthony John Markham | Northern Trust Securities, Inc BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2020 | Feb 22, 2021 (112 d) |
| Adam Michael Cross | Northern Trust Securities, Inc BD affiliated | Amc Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 13, 2020 | Jul 13, 2020 |
| Joshua Clapp | Northern Trust Securities, Inc BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2019 | Jun 1, 2021 (666 d) |
| Kevin Andrew Kaylakie | Northern Trust Securities, Inc BD affiliated | Sinecera Capital, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 4, 2019 | Jun 28, 2019 |
| Maria Niehus | Northern Trust Securities, Inc other | Strategic Advisers LLC national BD | Other | Dec 12, 2017 | Feb 16, 2018 (66 d) |
| John F Ward | Northern Trust Securities, Inc other | Wintrust Investments mixed wealth | Other | Dec 1, 2017 | Sep 17, 2019 (655 d) |
| Robert J Sullivan | Northern Trust Securities, Inc other | Morgan Stanley wirehouse | Other | Jun 23, 2017 | Sep 2, 2022 (1897 d) |
| Eric Ross Davidoff | Northern Trust Securities, Inc other | Fisher Investments other | Other | Jun 13, 2017 | Oct 19, 2017 (128 d) |
| Catherine Ann Zieman | Northern Trust Securities, Inc no RAUM | Neuberger Berman Bd LLC other | Other | Dec 31, 2009 | May 2, 2013 (1218 d) |
| Betty Tellaisha Schultze | Northern Trust Securities, Inc no RAUM | Wells Fargo Advisors wirehouse | Other | Dec 31, 2009 | Oct 24, 2011 (662 d) |
| Michael James Castillo | Northern Trust Securities, Inc no RAUM | Strategic Advisers LLC national BD | Other | Dec 31, 2009 | Jul 13, 2010 (194 d) |
| Thomas George Wagner | Northern Trust Securities, Inc no RAUM | Credit Suisse Securities (USA) LLC other | Other | Dec 31, 2009 | May 11, 2011 (496 d) |
| Brian Eric Schrag | Northern Trust Securities, Inc no RAUM | Wells Fargo Advisors wirehouse | Other | Dec 31, 2009 | May 18, 2010 (138 d) |
| Wendy Jo Farrissey | Northern Trust Securities, Inc no RAUM | Charles Schwab & Co., Inc. national BD | Other | Dec 31, 2009 | Aug 25, 2021 (4255 d) |
| Stephen Lance Yates | Northern Trust Securities, Inc no RAUM | Morgan Stanley wirehouse | Other | Dec 31, 2009 | Jan 8, 2010 |
| Edward William Spiegel | Northern Trust Securities, Inc no RAUM | Morgan Stanley wirehouse | Other | Dec 31, 2009 | Mar 1, 2010 (60 d) |
| Edward Andrew Kushma | Northern Trust Securities, Inc no RAUM | Proshare Advisors LLC other | Other | Dec 31, 2009 | Jul 8, 2015 (2015 d) |
| Alex James Winslow | Northern Trust Securities, Inc no RAUM | Harvester Wealth, LLC state registered | Other | Dec 31, 2009 | Jun 2, 2022 (4536 d) |
| David Jerome Pazdan | Northern Trust Securities, Inc no RAUM | Morgan Stanley wirehouse | Other | Dec 31, 2009 | Feb 26, 2010 (57 d) |
| Laura Lynne Demert | Northern Trust Securities, Inc no RAUM | Raymond James & Associates, Inc. national BD | Other | Dec 31, 2009 | Jun 24, 2020 (3828 d) |
| Thomas Sean Mccartney | Northern Trust Securities, Inc no RAUM | M Holdings Securities, Inc. other | Other | Dec 31, 2009 | Jun 1, 2015 (1978 d) |
| Ronald Ford Powell | Northern Trust Securities, Inc no RAUM | Wells Fargo Advisors wirehouse | Other | Dec 31, 2009 | Aug 30, 2019 (3529 d) |
| Marc Edward Brock | Northern Trust Securities, Inc no RAUM | Your Source Financial other | Other | Dec 31, 2009 | Sep 2, 2011 (610 d) |
| John Cristello | Northern Trust Securities, Inc no RAUM | B+ Institutional Services, LLC no RAUM | Other | Dec 31, 2009 | Aug 28, 2015 (2066 d) |
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122 moves match.