DFX Intelligence

RIA Intelligence

Advisor moves

Arrivals at Capital One Advisors, LLC

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
Steven Lynn Oneal	Valic Financial Advisors, Inc. other	Capital One Advisors, LLC no RAUM	Other	Dec 17, 2015	Dec 16, 2015
Aileen F Defroda	Commonwealth Financial Network national BD	Capital One Advisors, LLC no RAUM	Other	Dec 9, 2015	Dec 15, 2015
Candice Lee Gilman	Wells Fargo Advisors wirehouse	Capital One Advisors, LLC other	Other	Dec 7, 2015	Sep 21, 2017 (654 d)
Mollie Becker Taylor	Stifel, Nicolaus & Company, Incorporated national BD	Capital One Advisors, LLC no RAUM	Other	Dec 4, 2015	Dec 17, 2015
Daniel Aaron Friedman	Morgan Stanley wirehouse	Capital One Advisors, LLC no RAUM	Other	Nov 24, 2015	Jan 6, 2016 (43 d)
Patrick Michael Rogan	Vanguard Advisers, Inc. other	Capital One Advisors, LLC no RAUM	Other	Nov 24, 2015	Dec 15, 2015
Isaiah N Johnson	Msi Financial Services, Inc. other	Capital One Advisors, LLC no RAUM	Other	Nov 16, 2015	Dec 11, 2015
Christopher Lawson	E*Trade Capital Management, LLC other	Capital One Advisors, LLC other	Other	Oct 1, 2015	Jun 6, 2017 (614 d)
John Merendino	LPL Financial LLC other	Capital One Advisors, LLC no RAUM	Other	Sep 30, 2015	Feb 29, 2016 (152 d)
Luis Alfredo Hernandez	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Sep 24, 2015	Sep 17, 2015
William Thomas Spencer	J.P. Morgan Private Wealth Advisors LLC other	Capital One Advisors, LLC other	Other	Sep 2, 2015	Jun 6, 2016 (278 d)
Bennie Wanda Hargrove	Edward Jones national BD	Capital One Advisors, LLC no RAUM	Other	Sep 1, 2015	Oct 2, 2015 (31 d)
Ildefonso (Al) Casarez	Edward Jones national BD	Capital One Advisors, LLC no RAUM	Other	Sep 1, 2015	Sep 17, 2015
Philip Alain Monnier	Equitable Advisors, LLC national BD	Capital One Advisors, LLC no RAUM	Other	Jul 31, 2015	Oct 19, 2015 (80 d)
Byron Graham Moore	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC other	Other	Jul 29, 2015	Jul 1, 2016 (338 d)
Angela Kristen Blythe	Strategic Advisers LLC national BD	Capital One Advisors, LLC other	Other	Jul 16, 2015	Feb 6, 2017 (571 d)
Wouter Stokman	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Jul 14, 2015	Aug 10, 2015
Marcus Minsky	Northwestern Mutual Investment Services,LLC other	Capital One Advisors, LLC no RAUM	Other	Jul 8, 2015	Nov 16, 2015 (131 d)
Gregory Bertram Coverdale	Civitas Partners LLC unclassified	Capital One Advisors, LLC no RAUM	Other	Jun 30, 2015	May 29, 2015
Inezjustine Refugio Aznar	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Jun 23, 2015	Jun 18, 2015
Carlos Sergio Torres Negron	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital One Advisors, LLC no RAUM	Other	Jun 16, 2015	Aug 28, 2015 (73 d)
Daniel Stuart Cook	Equitable Advisors, LLC national BD	Capital One Advisors, LLC no RAUM	Other	Jun 10, 2015	Feb 17, 2016 (252 d)
Kevin L Matthews	Edward Jones national BD	Capital One Advisors, LLC no RAUM	Other	Jun 4, 2015	Jun 17, 2015
Safet Musovic	Santander Securities other	Capital One Advisors, LLC no RAUM	Other	May 27, 2015	May 29, 2015
Shuron Morton	Morgan Stanley wirehouse	Capital One Advisors, LLC no RAUM	Other	May 18, 2015	Jun 23, 2015 (36 d)
Naser M Alzer	LPL Financial LLC other	Capital One Advisors, LLC no RAUM	Other	May 15, 2015	May 11, 2015
Michael Angelo Dispirito	Hsbc Securities (USA) Inc. other	Capital One Advisors, LLC no RAUM	Other	May 13, 2015	May 13, 2015
Diana M Leon	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital One Advisors, LLC no RAUM	Other	May 7, 2015	Jan 2, 2015
Jennifer Robbins	Wells Fargo Advisors wirehouse	Capital One Advisors, LLC no RAUM	Other	Apr 16, 2015	May 15, 2015
Harlan Dickson Hughes	Raymond James Financial Services Advisors, Inc other	Capital One Advisors, LLC no RAUM	Other	Apr 6, 2015	Apr 17, 2015
Cheri Christine Nelson	1st Global Advisors Inc other	Capital One Advisors, LLC other	Other	Apr 3, 2015	Apr 24, 2017 (752 d)
Ronny Bendavid	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Mar 26, 2015	Apr 9, 2015
Jan A Galvez	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Mar 11, 2015	May 8, 2015 (58 d)
Arben Kupi	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Feb 27, 2015	Jun 2, 2015 (95 d)
Gifford Lee	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital One Advisors, LLC no RAUM	Other	Feb 12, 2015	Apr 13, 2015 (60 d)
Lane E Tamburo	Edward Jones national BD	Capital One Advisors, LLC no RAUM	Other	Jan 23, 2015	Jun 16, 2015 (144 d)
Adrian James Sparks	LPL Financial LLC other	Capital One Advisors, LLC no RAUM	Other	Dec 31, 2014	Dec 17, 2015 (351 d)
Michelle Ann Betancourt	Raymond James & Associates, Inc. national BD	Capital One Advisors, LLC no RAUM	Other	Dec 15, 2014	Jan 29, 2015 (45 d)
Themba Magagula	Transamerica Financial Advisors, LLC other	Capital One Advisors, LLC no RAUM	Other	Dec 3, 2014	Dec 17, 2015 (379 d)
Kevin Michael Zeller	Blackrock Financial Management, Inc other	Capital One Advisors, LLC no RAUM	Other	Dec 1, 2014	May 29, 2015 (179 d)
Jeff Michael Doan	Wells Fargo Advisors wirehouse	Capital One Advisors, LLC no RAUM	Other	Nov 4, 2014	Jan 29, 2015 (86 d)
John Esko Delamater	Morgan Stanley wirehouse	Capital One Advisors, LLC other	Other	Oct 27, 2014	Aug 1, 2016 (644 d)
Robert Matthew Meredith	Waddell & Reed other	Capital One Advisors, LLC no RAUM	Other	Oct 7, 2014	Apr 14, 2015 (189 d)
Steven Robert Brown	Hsbc Securities (USA) Inc. other	Capital One Advisors, LLC no RAUM	Other	Sep 23, 2014	Jan 6, 2016 (470 d)
Gregory Scott Anderson	Edward Jones national BD	Capital One Advisors, LLC no RAUM	Other	Sep 23, 2014	Feb 10, 2015 (140 d)
Hugh Clay Johnson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital One Advisors, LLC no RAUM	Other	Jul 10, 2014	Nov 12, 2015 (490 d)
George Anthony Vera	Wells Fargo Advisors wirehouse	Capital One Advisors, LLC no RAUM	Other	Jun 23, 2014	Apr 22, 2015 (303 d)
Ali Mozaffar	Wells Fargo Advisors wirehouse	Capital One Advisors, LLC no RAUM	Other	Jun 23, 2014	Mar 4, 2015 (254 d)
Andrew R. Johnson	Woodbury Financial Services, Inc. other	Capital One Advisors, LLC no RAUM	Other	May 2, 2014	Jul 28, 2015 (452 d)
John Rhett Garner	Pruco Securities, LLC other	Capital One Advisors, LLC no RAUM	Other	Apr 8, 2014	Jun 15, 2015 (433 d)
Richert John Hart	Capital One Financial Advisors LLC unclassified	Capital One Advisors, LLC no RAUM	Other	Feb 5, 2014	Feb 20, 2014
Henry Manuel Nunez	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital One Advisors, LLC other	Other	Jan 10, 2014	Apr 18, 2017 (1194 d)
Uriel Batista	Wells Fargo Advisors wirehouse	Capital One Advisors, LLC other	Other	Jan 2, 2014	Oct 28, 2016 (1030 d)
Kelly Lee Ausburn	U.S. Bancorp Advisors, LLC other	Capital One Advisors, LLC no RAUM	Other	Dec 16, 2013	Jul 6, 2015 (567 d)
Glen David Amason	Strategic Advisers LLC national BD	Capital One Advisors, LLC other	Other	Sep 5, 2013	Jan 5, 2017 (1218 d)
Sara Jane Andres	Ameritas Advisory Services other	Capital One Advisors, LLC no RAUM	Other	Jul 31, 2013	Sep 5, 2013 (36 d)
Christopher Scott Morris	J.P. Morgan Securities LLC wirehouse	Capital One Advisors, LLC no RAUM	Other	Jun 4, 2013	Jun 3, 2015 (729 d)
Dominic Stilletti	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital One Advisors, LLC no RAUM	Other	Apr 15, 2013	Apr 13, 2015 (728 d)
Michael Abate	Sentinel Pension Advisors, LLC. other	Capital One Advisors, LLC no RAUM	Other	Oct 16, 2012	Dec 10, 2012 (55 d)
Justin Ryan Bardwell	Edward Jones national BD	Capital One Advisors, LLC no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Aug 21, 2012	Mar 28, 2016 (1315 d)

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132 moves match.