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 Deutsche Bank Securities Inc.

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
Allen Huggins Johnson	Aprio Wealth Management, LLC other	Deutsche Bank Securities Inc. other	Other	Jun 10, 2013	Jun 7, 2013
Kim Marie Martin	Aprio Wealth Management, LLC other	Deutsche Bank Securities Inc. other	Other	Jun 10, 2013	Jun 17, 2013
Mark Mattson Pond	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 7, 2013	May 10, 2013
William Roger Rassman	Mariner other	Deutsche Bank Securities Inc. other	Other	Jun 3, 2013	Jun 11, 2013
Gregory Syler	J.P. Morgan Securities LLC wirehouse	Deutsche Bank Securities Inc. other	Other	May 13, 2013	Jun 21, 2013 (39 d)
Dana Josephine Wheeler	Raymond James & Associates, Inc. national BD	Deutsche Bank Securities Inc. other	Other	May 3, 2013	Nov 21, 2013 (202 d)
Christopher S Jensen	Strategic Advisers LLC national BD	Deutsche Bank Securities Inc. other	Other	Sep 4, 2012	Oct 28, 2013 (419 d)
Jason G Young	Alliancebernstein L.P. other	Deutsche Bank Securities Inc. other	Other	Aug 20, 2012	Aug 13, 2012
Gregory Edward Barr	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 11, 2012	Mar 29, 2012
Robert Charles Daum	Structured Asset Investors, LLC other	Deutsche Bank Securities Inc. other	Other	Apr 4, 2012	Apr 10, 2013 (371 d)
Jeffrey Jon Tompkins	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 28, 2012	Apr 4, 2012
Elaine Israel	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 28, 2012	Apr 9, 2012
Patricia Marie Oconnor	Morgan Keegan & Company, LLC other	Deutsche Bank Securities Inc. other	Other	Mar 19, 2012	Apr 9, 2012
Lissette Julmir Espana	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Feb 17, 2012	Feb 29, 2012
Stephanie Lynn Ayer	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 15, 2012	Feb 13, 2012
Kevin Scott Fernandez	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 7, 2012	Feb 9, 2012
David Craig Grossman	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 7, 2012	Feb 8, 2012
Luis Daniel Correa	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 7, 2012	Feb 13, 2012
Masa Sekulic	Crowell, Weedon & Co. other	Deutsche Bank Securities Inc. other	Other	Nov 22, 2011	Nov 28, 2011
Jeffrey Thorne Sloan	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Oct 31, 2011	Oct 31, 2011
Samuel D Frankfort	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Aug 9, 2011	Aug 5, 2011
Robbie O'Neil Chandler	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Aug 2, 2011	Jul 29, 2011
Christopher Todd Chilcoat	Sunset Financial Services, Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 1, 2011	Aug 16, 2011
Dagmara Katarzyna Frankowska	Momentum Independent Network Inc. other	Deutsche Bank Securities Inc. other	Other	Jul 14, 2011	Nov 22, 2011 (131 d)
Jennifer Fanee Thigpen	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jul 5, 2011	Jul 18, 2011
Beth Elaine Chessler	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	May 10, 2011	May 20, 2011
Todd Douglas Ryman	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	May 10, 2011	May 17, 2011
Joseph Cameron Murphy	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 22, 2011	Mar 23, 2011
Roberto Ho Chiu	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 23, 2010	Jan 19, 2011
Kevin Michael Mccluskey	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 21, 2010	Jan 11, 2011
Anthony Mark Montenegro	Chase Investment Services Corp. other	Deutsche Bank Securities Inc. other	Other	Dec 10, 2010	Dec 17, 2010
Liza Momongan Blundell	Oppenheimer & Co. Inc. other	Deutsche Bank Securities Inc. other	Other	Dec 1, 2010	Dec 13, 2010
Khadijah Bey Jenkins	LPL Financial LLC other	Deutsche Bank Securities Inc. other	Other	Aug 23, 2010	Aug 2, 2012 (710 d)
Gerald Lawrence Larr	Dws Investment Management Americas, Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 18, 2010	Sep 2, 2010
Richard Alan Ward	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 5, 2010	Nov 16, 2015 (1929 d)
Brandon Larry Cauley	Msi Financial Services, Inc. other	Deutsche Bank Securities Inc. other	Other	Jul 21, 2010	Dec 14, 2010 (146 d)
Chad Wayne Toriello	Neuberger Berman Bd LLC other	Deutsche Bank Securities Inc. other	Other	Jun 8, 2010	Feb 22, 2011 (259 d)
John Tomas Mccauley	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 8, 2010	May 17, 2010 (39 d)
Shay W Scruggs	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Jan 25, 2010	Jan 15, 2010
Matthew Taylor Ayers	Canterbury Consulting Incorporated other	Deutsche Bank Securities Inc. other	Other	Jan 21, 2010	Feb 2, 2010
Richard Edwin Barron	Suntrust Investment Services, Inc. other	Deutsche Bank Securities Inc. other	Other	Jan 4, 2010	Dec 24, 2009
Gary Lynn Burgess	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 19, 2009	Dec 10, 2009
Cooley Keep Fales	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 2, 2009	Oct 6, 2005
Jason W Wolter	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 2, 2009	Dec 2, 2009
Scott T Bertha	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 2, 2009	Nov 16, 2011 (714 d)
Kenneth George Gustaitis	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 2, 2009	Dec 2, 2009
Fred Courtney Croll Crozier	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Oct 2, 2009	Mar 23, 2010 (172 d)
Susan Elizabeth Schieding	Thomas Weisel Partners LLC other	Deutsche Bank Securities Inc. other	Other	Jul 30, 2009	Aug 6, 2009
John David Smith	Thomas Weisel Partners LLC other	Deutsche Bank Securities Inc. other	Other	Jul 23, 2009	Aug 6, 2009
John Joseph Donaruma	Thomas Weisel Partners LLC other	Deutsche Bank Securities Inc. other	Other	Jul 23, 2009	Aug 6, 2009
Michael Charles Hulett	Thomas Weisel Partners LLC other	Deutsche Bank Securities Inc. other	Other	Jul 23, 2009	Aug 6, 2009
Laura Jarris Martin	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jul 20, 2009	Jul 22, 2009
Vassilios Bill Grous	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Jul 2, 2009	Oct 23, 2013 (1574 d)
Steven Grill	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Jul 2, 2009	Jun 29, 2009
Alexander Christon	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 30, 2009	Jul 1, 2009
Justin A Rosato	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	May 26, 2009	May 5, 2009
Regina R Prajapati	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	May 13, 2009	Apr 7, 2010 (329 d)
Andrew George Kaplan	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	May 13, 2009	Dec 16, 2009 (217 d)
Jose Baez	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 20, 2009	Oct 15, 2009 (178 d)
Paul P Ruane	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 1, 2009	Dec 10, 2009 (253 d)

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262 moves match.