DFX Intelligence
Advisor moves
Arrivals at Rockefeller Capital ManagementWhat a move isA 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.
930 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Michael P Wallace | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Oct 28, 2019 | Oct 18, 2019 |
| Loreen A Washburn | Wells Fargo Advisors wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Oct 4, 2019 | Sep 27, 2019 |
| Pedro Jaime Marti | Wells Fargo Advisors wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Oct 2, 2019 | Sep 27, 2019 |
| Jahan K Jewayni | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 26, 2019 | Oct 8, 2019 |
| Kenneth Robert Crowley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 24, 2019 | Sep 20, 2019 |
| Gunn Thongniyom | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 24, 2019 | Sep 20, 2019 |
| Cara Chiemi Kennedy | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 24, 2019 | Sep 20, 2019 |
| Samuel Reid Campbell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 24, 2019 | Sep 20, 2019 |
| Gehret Davis Shemeld | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 24, 2019 | Sep 20, 2019 |
| Kellyann Risler | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2019 | Mar 22, 2021 (550 d) |
| Alison Ann Devries | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 5, 2019 | Jun 26, 2024 (1756 d) |
| Ava Arjmand | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 4, 2019 | Oct 2, 2019 |
| Michael Lawrence Siden | Morgan Stanley wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 3, 2019 | Sep 4, 2019 |
| Gino Louis Pace | Morgan Stanley wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Sep 3, 2019 | Sep 4, 2019 |
| Danielle Posillico | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 3, 2019 | Feb 20, 2021 (536 d) |
| Bradley Steven Holmes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 30, 2019 | May 26, 2021 (635 d) |
| Thomas Joseph Granaghan | Foresters Advisory Services, LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2019 | Aug 5, 2021 (709 d) |
| Diana Regina Kleper-Gilkes | Morgan Stanley wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Aug 23, 2019 | Sep 11, 2019 |
| Ashley Calderon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Aug 14, 2019 | Aug 28, 2019 |
| Abbas Khoshnevissan | Wells Fargo Advisors wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 29, 2019 | Jul 26, 2019 |
| Ulku Dogan | Wells Fargo Advisors wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 29, 2019 | Jul 26, 2019 |
| Megan Taylor Miles | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 6, 2019 | Jul 11, 2019 |
| Neil David Rubinstein | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 2, 2019 | Jun 28, 2019 |
| James D. Sandfort | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 2, 2019 | Jul 1, 2019 |
| Robyn R Petty-Greer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 2, 2019 | Jun 28, 2019 |
| Anna Kelly | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 2, 2019 | Jun 28, 2019 |
| Ryan Edward Barcena | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 2, 2019 | Jun 28, 2019 |
| Michael Kevin Buss | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jul 2, 2019 | Jun 28, 2019 |
| Brian Riley | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2019 | Apr 1, 2020 (280 d) |
| John Ciaramitaro | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jun 21, 2019 | Jul 1, 2019 |
| Bruce Tenenbaum | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 29, 2019 | Apr 28, 2021 (700 d) |
| Andy Lam | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | May 28, 2019 | May 20, 2019 |
| Burt Martin Mills | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 24, 2019 | Mar 22, 2021 (668 d) |
| Evangelos Tsembelis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 10, 2019 | Mar 19, 2021 (679 d) |
| Sharon Mary Magner | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 9, 2019 | Feb 1, 2021 (634 d) |
| Gus Silva Roessler | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 6, 2019 | Nov 5, 2024 (2010 d) |
| Michael Richard Armondo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | May 6, 2019 | May 29, 2019 |
| Ron L Guidi | Liberty Wealth Management, LLC independent RIA | Rockefeller Capital Management independent RIA | RIA to RIA | Apr 29, 2019 | May 7, 2019 |
| Jason S Rich | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2019 | Mar 22, 2021 (696 d) |
| Michael Thomas Lepore | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Mar 19, 2019 | Jul 22, 2019 (125 d) |
| David Belotte | Acg Wealth Inc. independent RIA | Rockefeller Capital Management independent RIA | RIA to RIA | Mar 18, 2019 | Apr 1, 2019 |
| Chloe Tianyu Duanshi | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 18, 2019 | Mar 22, 2021 (735 d) |
| Anne Fitzgerald Francissen | Rothschild Investment independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Mar 13, 2019 | Jul 9, 2020 (484 d) |
| Michael Paul Parker | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2019 | Feb 3, 2021 (694 d) |
| Ray P Tucholski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 6, 2019 | Mar 6, 2019 |
| Brett Winston Mendenhall | United Capital Financial Advisors independent RIA | Rockefeller Capital Management no RAUM | RIA to a newly registered adviser | Mar 5, 2019 | Mar 6, 2019 |
| Cheryl Louise Rowan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 4, 2019 | Mar 6, 2019 |
| Sally Lee Kreisler | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 27, 2019 | Mar 1, 2019 |
| Blake Franklin Bruce | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 25, 2019 | Feb 22, 2019 |
| Angela Beth Cain | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 25, 2019 | Feb 22, 2019 |
| Ty Teifer Dickey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 25, 2019 | Feb 22, 2019 |
| William Hunter Unrue | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Feb 25, 2019 | Feb 22, 2019 |
| Nicholas Matthew Peters | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2019 | Feb 3, 2021 (719 d) |
| Richard Henry Carrier | Summit Financial, LLC BD affiliated | Rockefeller Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 1, 2019 | Mar 3, 2020 (396 d) |
| Latoya Bagwell | Pruco Securities, LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2019 | Jan 26, 2021 (734 d) |
| John Frederick Embleton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 22, 2019 | Jan 18, 2019 |
| David Patrick Higgins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 22, 2019 | Jan 18, 2019 |
| Michael Patrick Hall | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 22, 2019 | Jan 18, 2019 |
| Cory Alan Bryson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Jan 22, 2019 | Apr 1, 2019 (69 d) |
| Sumaree White | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 22, 2019 | Mar 19, 2019 (56 d) |