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

Arrivals at Clearbridge Investments, 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
David Stuart Penn	Citigroup Global Markets Inc. other	Clearbridge Investments, LLC other	Other	Jun 14, 2007	May 29, 2007
Zigmas Kaknevicius	Ast Investment Services, Inc. other	Clearbridge Investments, LLC other	Other	Jun 7, 2007	May 12, 2009 (705 d)
Richard Paul Mcmanus	Morgan Stanley & Co. LLC unclassified	Clearbridge Investments, LLC other	Other	May 23, 2007	Jun 6, 2007
Anthony Victor Laudicina	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Clearbridge Investments, LLC other	Other	Oct 18, 2006	Dec 19, 2006 (62 d)
Lee Alan Cumming	Citigroup Global Markets Inc. other	Clearbridge Investments, LLC other	Other	Sep 26, 2006	Nov 9, 2006 (44 d)
Andrew Olatunde Oladipo	Morgan Stanley Dw Inc. unclassified	Clearbridge Investments, LLC other	Other	Jun 7, 2006	Jun 26, 2006
Paolo Luca Giacomo Marini	Citigroup Global Markets Inc. other	Clearbridge Investments, LLC other	Other	Jan 27, 2006	May 15, 2006 (108 d)
Robert Eugene Garcia	Citigroup Global Markets Inc. other	Clearbridge Investments, LLC other	Other	Jan 26, 2006	Jun 6, 2006 (131 d)
Lori Ann Silverthorne	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Jan 24, 2006	Mar 16, 2006 (51 d)
Mark J. Peloquin	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 5, 2005	Mar 16, 2006 (101 d)
Brian P Malone	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 5, 2005	Mar 17, 2006 (102 d)
William Michael Smith	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 5, 2005	Mar 17, 2006 (102 d)
Roger Deveney Dael	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 5, 2005	Mar 16, 2006 (101 d)
Troy Douglas Petry	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 2, 2005	Mar 15, 2006 (103 d)
Dennis Delaney Parlante	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 2, 2005	Mar 15, 2006 (103 d)
Mark Philip Whiskeyman	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 2, 2005	Mar 15, 2006 (103 d)
Walter Beres Stundick	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 2, 2005	Mar 15, 2006 (103 d)
Erik Ranson	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 2, 2005	Mar 17, 2006 (105 d)
Sharrel Ann Hohman	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 1, 2005	Mar 16, 2006 (105 d)
Paul James Failla	Legg Mason Wood Walker, Incorporated unclassified	Clearbridge Investments, LLC other	Other	Dec 1, 2005	Mar 16, 2006 (105 d)

Page 2 of 2Previous

80 moves match.