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 Capital Client Group, 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.

AdvisorFromToTypeLeftRegistered
Cecil Covington PilsonW&S Brokerage Services, Inc. BD affiliatedCapital Client Group, Inc. no RAUMOtherJul 16, 2024Jul 25, 2024
Jesus RamonFidelity Personal And Workplace Advisors BD affiliatedCapital Client Group, Inc. no RAUMOtherJul 11, 2024Aug 2, 2024
Samuel James AdamsBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherJul 1, 2024Jul 10, 2024
Nathaniel Jacob GozlanRaymond James Investment Management asset managerCapital Client Group, Inc. no RAUMOtherJul 1, 2024Jul 31, 2024
Robert Clinton WillisJfs Wealth Advisors, LLC independent RIACapital Client Group, Inc. no RAUMOtherJun 6, 2024Jun 24, 2024
Erin Claire SheehanT. Rowe Price Associates, Inc. asset managerCapital Client Group, Inc. no RAUMOtherApr 17, 2024May 9, 2024
Cameron Christopher WadsworthAssetmark, Inc. BD affiliatedCapital Client Group, Inc. no RAUMOtherApr 2, 2024Sep 7, 2025 (523 d)
Daniel Akil WilliamsT. Rowe Price Associates, Inc. asset managerCapital Client Group, Inc. no RAUMOtherFeb 20, 2024Sep 15, 2026 (938 d)
Travon Jeremiah MccainAon Advantage Funds LLC asset managerCapital Client Group, Inc. no RAUMOtherJan 31, 2024Jul 28, 2025 (544 d)
George Joseph WolfBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherJan 12, 2024May 1, 2024 (110 d)
Madison KrausKraus Capital Management, LLC otherCapital Client Group, Inc. no RAUMOtherJan 10, 2024Jan 16, 2024
Robert Montgomery CarterSmead Capital Management, Inc. asset managerCapital Client Group, Inc. no RAUMOtherDec 31, 2023Aug 28, 2026 (971 d)
Justin Michael MaddoxBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherDec 7, 2023Dec 12, 2023
Mallory Joy MeyerMML Investors Services, LLC BD affiliatedCapital Client Group, Inc. no RAUMOtherJul 31, 2023Aug 2, 2023
Kimberly Ann RodriguezLPL Financial LLC BD affiliatedCapital Client Group, Inc. no RAUMOtherJul 14, 2023Jul 20, 2023
Armand Leonardo LeaksT. Rowe Price Associates, Inc. asset managerCapital Client Group, Inc. no RAUMOtherJun 14, 2023Aug 29, 2024 (442 d)
Colt Donovan FreitasEdward Jones national BDCapital Client Group, Inc. no RAUMOtherNov 28, 2022Dec 9, 2022
Dillon Willis LullBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherSep 8, 2022Sep 18, 2022
Clayton Joseph SchreckLPL Financial LLC independent RIACapital Client Group, Inc. no RAUMOtherSep 2, 2022Oct 7, 2022 (35 d)
Joseph Patrick LynchNuveen Asset Management, LLC otherCapital Client Group, Inc. no RAUMOtherJul 29, 2022Aug 22, 2022
Duane Robert MattsonLion Street Advisors, LLC BD affiliatedCapital Client Group, Inc. no RAUMOtherJul 7, 2022Aug 21, 2022 (45 d)
Rainey LordBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherJun 9, 2022Aug 5, 2025 (1153 d)
Destiny Nicole LeeFidelity Personal And Workplace Advisors BD affiliatedCapital Client Group, Inc. no RAUMOtherJun 6, 2022Jun 27, 2022
James Ryan OrthAmeriprise Financial Services, LLC national BDCapital Client Group, Inc. no RAUMOtherJun 2, 2022Jun 21, 2022
Fahad Khalid JamilBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherMay 12, 2022May 26, 2022
Elena M PeersonGlobal Retirement Partners LLC institutionalCapital Client Group, Inc. no RAUMOtherApr 25, 2022May 18, 2022
Tobyn P SteffeyFidelity Personal And Workplace Advisors BD affiliatedCapital Client Group, Inc. no RAUMOtherApr 20, 2022Apr 27, 2022
Mary Katharine RadloffEmpower Advisory Group, LLC BD affiliatedCapital Client Group, Inc. no RAUMOtherApr 12, 2022Jul 27, 2023 (471 d)
Daniel Aaron FritzFidelity Personal And Workplace Advisors BD affiliatedCapital Client Group, Inc. no RAUMOtherMar 15, 2022Mar 16, 2022
Jeffrey Carrera PaguiriganBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherFeb 17, 2022Feb 25, 2022
Franklin Philip GouldFjy Financial independent RIACapital Client Group, Inc. no RAUMOtherJan 25, 2022Apr 1, 2022 (66 d)
Adam P PeachT. Rowe Price Associates, Inc. asset managerCapital Client Group, Inc. no RAUMOtherJan 10, 2022Jan 18, 2022
Eric Matthew KirkmanColumbia Management Investment Advisers, LLC asset managerCapital Client Group, Inc. no RAUMOtherJan 5, 2022Jan 21, 2022
Trisha HornAmeriprise Financial Services, LLC national BDCapital Client Group, Inc. no RAUMOtherJan 3, 2022Jan 19, 2022
Travis Scott GilbergBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherDec 22, 2021Dec 12, 2023 (720 d)
Matthew Thomas LeveneTandem Wealth Advisors independent RIACapital Client Group, Inc. no RAUMOtherDec 14, 2021Apr 6, 2022 (113 d)
Patrick John RyanFidelity Personal And Workplace Advisors BD affiliatedCapital Client Group, Inc. no RAUMOtherAug 5, 2021May 29, 2025 (1393 d)
Alexa Michelle OcampoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Client Group, Inc. no RAUMOtherJul 8, 2021Jun 14, 2023 (706 d)
Jeffrey Francis GreenwaltCharles Schwab & Co., Inc. national BDCapital Client Group, Inc. no RAUMOtherJun 30, 2021Jul 7, 2022 (372 d)
Connie Pina CastilloFrost Investment Services BD affiliatedCapital Client Group, Inc. no RAUMOtherApr 7, 2021Mar 18, 2024 (1076 d)
John Patrick FinneranBlackrock Investment Management, LLC otherCapital Client Group, Inc. no RAUMOtherMar 22, 2021May 4, 2021 (43 d)
Sejal Udani PenkarMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Client Group, Inc. no RAUMOtherMar 1, 2021Mar 11, 2021
Max WuMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Client Group, Inc. no RAUMOtherFeb 9, 2021Jun 29, 2021 (140 d)
Roger Dayne GossInvesco Advisers, Inc. asset managerCapital Client Group, Inc. no RAUMOtherSep 3, 2020Aug 21, 2022 (717 d)
David Charles CarsonKennedy Capital Management otherCapital Client Group, Inc. no RAUMOtherAug 3, 2020Aug 26, 2020
Darren Sam ChuGoldman Sachs Wealth Services, L.P. BD affiliatedCapital Client Group, Inc. no RAUMOtherJun 8, 2020Mar 4, 2024 (1365 d)
David Michael BeneventoHbks Wealth Advisors independent RIACapital Client Group, Inc. no RAUMOtherApr 6, 2020Jun 4, 2020 (59 d)
Natalie Delores WrightNew York Life Investment Management LLC asset managerCapital Client Group, Inc. no RAUMOtherMar 27, 2020Apr 23, 2020
Richard David MartinUsaa Investment Services Company BD affiliatedCapital Client Group, Inc. no RAUMOtherMar 5, 2020Nov 6, 2020 (246 d)
Alexander Thomas SotiriouNew York Life Investment Management LLC asset managerCapital Client Group, Inc. no RAUMOtherJan 22, 2020Feb 7, 2020
Richard RuedasUsaa Investment Services Company BD affiliatedCapital Client Group, Inc. no RAUMOtherJan 2, 2020Jan 13, 2020
Eric Jonathan KaminColumbia Management Investment Advisers, LLC asset managerCapital Client Group, Inc. no RAUMOtherNov 26, 2019Sep 10, 2020 (289 d)
Brenda Lynn GoekenAmeriprise Financial Services, LLC national BDCapital Client Group, Inc. no RAUMOtherNov 8, 2019Dec 5, 2019
Katarzyna Alicja JablonskiAmundi Pioneer Institutional Asset Management, Inc. otherCapital Client Group, Inc. no RAUMOtherOct 25, 2019Oct 1, 2021 (707 d)
Lesley Parrish ReinhartRussell Investments otherCapital Client Group, Inc. no RAUMOtherSep 5, 2019Sep 10, 2019
Jennifer Rebecca RocciOneamerica Securities, Inc. BD affiliatedCapital Client Group, Inc. no RAUMOtherAug 29, 2019Jan 26, 2026 (2342 d)
Bradley David OlaldeNwq Investment Management Company, LLC asset managerCapital Client Group, Inc. no RAUMOtherAug 13, 2019Aug 20, 2019
Antonio Giancarlo CapobiancoNeuberger Berman Bd LLC no RAUMCapital Client Group, Inc. no RAUMOtherAug 9, 2019Jul 10, 2023 (1431 d)
Frohman ChenMorgan Stanley wirehouseCapital Client Group, Inc. no RAUMOtherJul 31, 2019Feb 24, 2023 (1304 d)
Jonathan Thomas PlanceTd Ameritrade, Inc. no RAUMCapital Client Group, Inc. no RAUMOtherJul 29, 2019Dec 17, 2025 (2333 d)
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308 moves match.