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 Aegis Capital Corp.

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.

AdvisorFromToTypeLeftRegistered
James Anthony IannazzoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAegis Capital Corp. BD affiliatedWirehouse to affiliated broker-dealer or bankMar 23, 2022Mar 17, 2022
William Lee NotricaRBC Capital Markets, LLC national BDAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 18, 2022Feb 24, 2022
James WrightAmerican Portfolios Advisors, Inc independent RIAAegis Capital Corp. BD affiliatedRIA to affiliated broker-dealer or bankNov 2, 2021Oct 29, 2021
Nicholas Steven ChomanLPL Financial LLC BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherOct 22, 2021Nov 9, 2021
Chad Thomas BrownLPL Financial LLC BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherAug 17, 2021Sep 9, 2021
Phillip G FarmerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAegis Capital Corp. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 4, 2021Jul 26, 2021
James Robert BrennanPrincipal Securities, Inc. BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherJul 14, 2021Jul 26, 2021
Jessica Y JungLPL Financial LLC BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherApr 21, 2021Apr 20, 2021
Zubin HodiwallaTd Ameritrade, Inc. no RAUMAegis Capital Corp. BD affiliatedOtherJan 11, 2021Jan 2, 2025 (1452 d)
Ghazaleh Kayvan EbrahimiStifel, Nicolaus & Company, Incorporated national BDAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherNov 25, 2020Jan 5, 2026 (1867 d)
Joseph G WhattonWells Fargo Advisors wirehouseAegis Capital Corp. BD affiliatedWirehouse to affiliated broker-dealer or bankOct 26, 2020Oct 15, 2020
Stephen Todd WalkerRBC Capital Markets, LLC national BDAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherJun 3, 2020Jul 16, 2020 (43 d)
David Lynn Van GeffenRaymond James Financial Services Advisors, Inc BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherMar 24, 2020Mar 5, 2020
Harvey Lee MaclinInvestacorp Advisory Services Inc BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherMar 6, 2020Mar 3, 2020
Michael Terrance MahoneyInvestacorp Advisory Services Inc BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherMar 6, 2020Mar 3, 2020
Gilbert Anthony KutaCapitol Securities Management, Inc. independent RIAAegis Capital Corp. BD affiliatedRIA to affiliated broker-dealer or bankMar 2, 2020Jan 8, 2026 (2138 d)
John Albert OemingCommonwealth Financial Network national BDAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherFeb 19, 2020Mar 2, 2020
Jesse MaltzmanFidelity Personal And Workplace Advisors BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherNov 18, 2019Dec 11, 2019
Earl David HensleyInvestacorp Advisory Services Inc BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherAug 9, 2019Apr 26, 2021 (626 d)
Pedro Juan Rodriguez RiveraRiwm, LLC state registeredAegis Capital Corp. otherOtherJul 29, 2019Nov 6, 2015
Brian William DalyJ.P. Morgan Securities LLC wirehouseAegis Capital Corp. BD affiliatedWirehouse to affiliated broker-dealer or bankApr 5, 2019May 30, 2024 (1882 d)
Patrick Thomas DonohueUBS Financial Services Inc. wirehouseAegis Capital Corp. BD affiliatedWirehouse to affiliated broker-dealer or bankDec 26, 2018Dec 7, 2018
Andre ManganoHsbc Securities (USA) Inc. BD affiliatedAegis Capital Corp. BD affiliatedAffiliated broker-dealer or bank to anotherDec 20, 2018Mar 25, 2019 (95 d)
Scott RatajczakValic Financial Advisors, Inc. otherAegis Capital Corp. otherOtherOct 26, 2017Nov 3, 2017
Matthew WinthropRBC Capital Markets, LLC national BDAegis Capital Corp. otherOtherOct 24, 2017Oct 16, 2017
Eric NewmanB. Riley Wealth Advisors, Inc. otherAegis Capital Corp. otherOtherSep 29, 2017Sep 28, 2017
Thomas M DowlingFsc Securities Corporation otherAegis Capital Corp. otherOtherJun 30, 2017Jun 27, 2017
Antonio Salvador BauzaRiwm, LLC state registeredAegis Capital Corp. otherOtherMay 3, 2017Jul 31, 2015
Felix Rafael FuertesNortheast Asset Management LLC otherAegis Capital Corp. otherOtherApr 20, 2017Apr 21, 2017
Dustin Mark VancottOppenheimer & Co. Inc. otherAegis Capital Corp. otherOtherApr 6, 2017Apr 7, 2017
Lance Allan MoodyB. Riley Wealth Advisors, Inc. otherAegis Capital Corp. otherOtherFeb 23, 2017Mar 29, 2017 (34 d)
George Michael RussellB. Riley Wealth Advisors, Inc. otherAegis Capital Corp. otherOtherFeb 17, 2017Jan 26, 2017
Hemant Pal SinghB. Riley Wealth Advisors, Inc. otherAegis Capital Corp. otherOtherFeb 17, 2017Jan 24, 2017
Kayvan KaroonB. Riley Wealth Advisors, Inc. otherAegis Capital Corp. otherOtherFeb 17, 2017Jan 23, 2017
Matthew Steven GaerOppenheimer & Co. Inc. otherAegis Capital Corp. BD affiliatedOtherNov 9, 2016Jul 6, 2021 (1700 d)
Freddie Martinez ArroyoMML Investors Services, LLC otherAegis Capital Corp. otherOtherFeb 4, 2016May 24, 2017 (475 d)
Eric Scott StromingerOppenheimer & Co. Inc. otherAegis Capital Corp. otherOtherDec 22, 2015Mar 15, 2016 (84 d)
Rodney Bahy IbrahimMaxim Financial Advisors LLC otherAegis Capital Corp. otherOtherSep 17, 2015Jul 7, 2015
Arturo Jesus Rodriguez DiazCapital Guardian Wealth Management, LLC otherAegis Capital Corp. otherOtherJul 10, 2015Jun 11, 2015
Glen Steven DavisJhs Capital Advisors, LLC otherAegis Capital Corp. BD affiliatedOtherJul 7, 2015Jan 8, 2025 (3473 d)
Edward James JefferyJhs Capital Advisors, LLC otherAegis Capital Corp. BD affiliatedOtherJul 7, 2015Jun 20, 2021 (2175 d)
Eric William DavidsonJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJul 7, 2015Jul 2, 2015
Asa Lee SavageJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJul 7, 2015Jul 8, 2015
Matthew Roger MillerJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJul 7, 2015Jul 2, 2015
Joseph Anthony RomanoJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJun 17, 2015Jun 17, 2015
Jon R LeeJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJun 17, 2015Jun 17, 2015
Gerald Warren SeigelJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJun 17, 2015Jun 23, 2015
Robert Wyla MelberthJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJun 17, 2015Jun 17, 2015
Andrew PetersJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJun 17, 2015Jun 22, 2015
Trevor T TaylorJhs Capital Advisors, LLC otherAegis Capital Corp. otherOtherJun 17, 2015Jun 17, 2015
Daniel Jack GoldschmidtMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAegis Capital Corp. otherOtherMay 26, 2015Jul 20, 2015 (55 d)
Bradley Gatewood GeiseSignator Investors, Inc. otherAegis Capital Corp. otherOtherMay 11, 2015May 28, 2015
Craig Richard MargoliesGarden State Investment Advisory Services, LLC otherAegis Capital Corp. otherOtherJan 15, 2015Dec 23, 2014
William E WardUBS Financial Services Inc. wirehouseAegis Capital Corp. otherOtherOct 29, 2014Oct 31, 2014
Michael Francis JennettaIc Advisory Services, Inc. otherAegis Capital Corp. otherOtherSep 17, 2014Sep 19, 2014
Richard Harold WilsonDu Pasquier Asset Management otherAegis Capital Corp. otherOtherJul 25, 2014Jul 28, 2014
Christopher James GatschMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAegis Capital Corp. otherOtherJul 15, 2014Jul 17, 2014
Barry A MillsWestport Resources Management Inc otherAegis Capital Corp. otherOtherJun 10, 2014May 16, 2014
Glenn Douglas GlazerOppenheimer & Co. Inc. otherAegis Capital Corp. BD affiliatedOtherMay 19, 2014Jan 6, 2026 (4250 d)
John Anthony NoleInternational Assets Investment Management, LLC otherAegis Capital Corp. otherOtherFeb 6, 2014Feb 5, 2014
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151 moves match.