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 |
|---|---|---|---|---|---|
| Laura English Dawson | 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 | Feb 15, 2019 |
| William Churchill Curtis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 22, 2019 | Jan 22, 2021 (731 d) |
| Peter Schuyler Quackenbush | 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 22, 2019 |
| John D Hanna | 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 26, 2019 (63 d) |
| Evan Bradley Georgiou | 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 |
| Kevin Mark Valentino | 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 29, 2019 |
| Taylor Logan Patrone | 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 | Feb 11, 2019 |
| Brian Conan Cuneo | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2019 | Feb 3, 2021 (748 d) |
| Kenneth Alfred Willetts | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2019 | Oct 6, 2020 (630 d) |
| Thomas Lane Epperson | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 18, 2018 | Dec 7, 2018 |
| Justin Pace Ryan | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 18, 2018 | Jan 2, 2019 |
| Travis Joel Tidwell | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 18, 2018 | Dec 11, 2018 |
| Thomas Casey Stamps | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 18, 2018 | Jan 2, 2019 |
| Michael Wayne Outlaw | Morgan Stanley wirehouse | Rockefeller Capital Management no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Nov 3, 2018 | Nov 29, 2018 |
| Kristen Keenan Cahill | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 22, 2018 | Sep 20, 2021 (1064 d) |
| Nick M Bapis | Hightower Advisors, LLC BD affiliated | Rockefeller Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 12, 2018 | Jun 3, 2019 (264 d) |
| Michael Nicholas Bapis | Hightower Advisors, LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2018 | Sep 30, 2021 (1114 d) |
| Martin G Byrne | Osaic Fs, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2018 | Jul 28, 2021 (1112 d) |
| Hao Vinh Dong | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 4, 2018 | Aug 1, 2022 (1550 d) |
| Coley Patrick Cassidy | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 24, 2018 | Apr 19, 2022 (1456 d) |
| Anthony Michael Lindner | Robertson Stephens Advisors independent RIA | Rockefeller Capital Management independent RIA | RIA to RIA | Nov 29, 2017 | Feb 5, 2020 (798 d) |
| Shane Timothy Twomey | Aog Wealth Management other | Rockefeller Capital Management BD affiliated | Other | Jul 20, 2016 | Jun 28, 2023 (2534 d) |
| Tracy Ann Gravius | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 26, 2013 | Oct 21, 2021 (3131 d) |
| John Butler Horton | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | May 15, 2012 | Dec 3, 2019 (2758 d) |
| Bruce William Lombardi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 4, 2011 | Jun 29, 2021 (3556 d) |
| Clifton Tyler Fink | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 31, 2010 | Jun 20, 2021 (3824 d) |
| Heather Ada Philip | Ameriprise Financial Services, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2010 | Apr 11, 2022 (4147 d) |
| Christa Wendell | Managed Account Advisors LLC other | Rockefeller Capital Management BD affiliated | Other | May 20, 2010 | May 5, 2021 (4003 d) |
| Douglas Robert Dubiel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management independent RIA | Wirehouse to independent RIA | Feb 25, 2006 | Apr 16, 2019 (4798 d) |
| Susan Appleby Krimigis | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 25, 2003 | Mar 22, 2024 (7576 d) |
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