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 A.G.P / Alliance Global Partners
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 |
|---|---|---|---|---|---|
| Craig Richard Margolies | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2021 | May 24, 2021 |
| Matthew Jon Mason | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 26, 2021 | May 24, 2021 |
| Anthony Romano | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2021 | May 19, 2021 |
| Richard Harold Wilson | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2021 | May 14, 2021 |
| Daniel Jack Goldschmidt | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2021 | Apr 12, 2021 |
| Dustin Mark Vancott | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2021 | Mar 25, 2021 |
| Rodney Bahy Ibrahim | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2021 | Mar 16, 2021 |
| James Matthew Devary | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2021 | Mar 17, 2021 |
| Ying Zhao | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2021 | Mar 26, 2021 |
| Gino Poli | J.P. Morgan Securities LLC wirehouse | A.G.P / Alliance Global Partners independent RIA | Wirehouse to independent RIA | Feb 17, 2021 | Feb 1, 2021 |
| Prashant Nagindas Mody | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 9, 2021 | Feb 9, 2021 |
| Kenneth William Biebel | Spirit Of America Management Corp asset manager | A.G.P / Alliance Global Partners independent RIA | Other | Feb 2, 2021 | Feb 2, 2021 |
| Alex Boatman | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 19, 2021 |
| Lawrence Thomas Tulenko | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2021 | Jan 21, 2021 |
| Fred Michael Pisculli | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Nov 4, 2020 |
| Paul William Morse | Gladstone Wealth Partners independent RIA | A.G.P / Alliance Global Partners independent RIA | RIA to RIA | Oct 1, 2020 | Oct 20, 2020 |
| Keith Jarrett Ravodowitz | Herbert J. Sims Capital Management, Inc. independent RIA | A.G.P / Alliance Global Partners independent RIA | RIA to RIA | Aug 31, 2020 | Aug 31, 2020 |
| Peter Edward Mohan | Oppenheimer & Co. Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2020 | Jul 20, 2020 |
| Lawrence R Melcer | Stoever Glass Wealth Management, Inc. independent RIA | A.G.P / Alliance Global Partners independent RIA | RIA to RIA | Jul 13, 2020 | Jul 20, 2020 |
| Ross Gladstone | Spartan Capital Private Wealth Management LLC state registered | A.G.P / Alliance Global Partners independent RIA | Other | Jul 10, 2020 | Jun 28, 2020 |
| John William Raho | Spartan Capital Private Wealth Management LLC state registered | A.G.P / Alliance Global Partners independent RIA | Other | Jul 10, 2020 | Jun 28, 2020 |
| Ajit Singh Ajmani | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | May 20, 2020 | Apr 23, 2020 |
| Jean Pier Suarez | Spartan Capital Private Wealth Management LLC state registered | A.G.P / Alliance Global Partners independent RIA | Other | Apr 6, 2020 | Apr 12, 2020 |
| Richard William Vincent | UBS Financial Services Inc. wirehouse | A.G.P / Alliance Global Partners independent RIA | Wirehouse to independent RIA | Mar 6, 2020 | Feb 26, 2020 |
| Christopher Scott Hamilton | Edward Jones national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2020 | Jan 23, 2020 |
| Barry A Mills | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2020 | Aug 21, 2020 (212 d) |
| Sanford Elliott Steinberg | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2019 | Oct 4, 2019 |
| Jose Luis Perich | Citigroup Global Markets Inc. BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2019 | Sep 6, 2019 |
| Raymond Anthony Asmar | Summit Financial Group Inc BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2019 | Aug 16, 2019 |
| Susan Iris Stern | Oppenheimer & Co. Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2019 | Oct 9, 2019 (47 d) |
| Lance Mitchell Kluger | Summit Financial Group Inc BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2019 | Aug 26, 2019 |
| Mark Matthew Martiak | Premier Wealth Advisors, LLC independent RIA | A.G.P / Alliance Global Partners BD affiliated | RIA to affiliated broker-dealer or bank | Aug 16, 2019 | Aug 8, 2019 |
| Charles Eric Lundblade | Edward Jones national BD | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2019 | Aug 23, 2019 |
| Eric H Zoldan | Calton & Associates, Inc. independent RIA | A.G.P / Alliance Global Partners BD affiliated | RIA to affiliated broker-dealer or bank | Jul 29, 2019 | Jul 30, 2019 |
| Alexander Vlad Yelensky | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2019 | May 2, 2019 |
| Ben David Dembin | Morgan Stanley wirehouse | A.G.P / Alliance Global Partners BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 17, 2019 | May 28, 2019 |
| Jacob Saul Jansen | Edward Jones national BD | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2019 | May 3, 2019 |
| Harrison Reid Fischer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | A.G.P / Alliance Global Partners independent RIA | Wirehouse to independent RIA | Apr 3, 2019 | Sep 8, 2021 (889 d) |
| Gregory Charlot | Foresters Advisory Services, LLC BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2019 | Feb 6, 2019 |
| Matthew Brian Grosjean | Foresters Advisory Services, LLC BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Affiliated broker-dealer or bank to another | Feb 4, 2019 | Mar 19, 2019 (43 d) |
| Jean-Matthieu Josse | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 9, 2018 | Nov 2, 2018 |
| Charles Henry Garrido | Mcdonald Partners LLC independent RIA | A.G.P / Alliance Global Partners independent RIA | RIA to RIA | Oct 30, 2018 | Oct 31, 2018 |
| Moss Jason Plaine | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2018 | Sep 28, 2018 |
| Austin Leonard Metcalfe Thielen | Raymond James Financial Services Advisors, Inc BD affiliated | A.G.P / Alliance Global Partners other | Other | May 30, 2018 | Jun 7, 2018 |
| Philip William Michals | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners other | Other | Mar 7, 2018 | Mar 6, 2018 |
| Mike John Masunas | Avantax Advisory Services other | A.G.P / Alliance Global Partners other | Other | Sep 19, 2014 | Sep 18, 2014 |
| Kyle Grannan Jones | Edward Jones national BD | A.G.P / Alliance Global Partners other | Other | Jul 11, 2014 | Oct 15, 2014 (96 d) |
| Robert J Priola | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | A.G.P / Alliance Global Partners other | Other | Dec 6, 2013 | May 14, 2014 (159 d) |
| Shane Richard Farina | National Planning Corporation ("Npc Of America" In Fl & Ny) other | A.G.P / Alliance Global Partners other | Other | Feb 20, 2013 | Apr 8, 2013 (47 d) |
| John Edmund Neenan | MML Investors Services, LLC other | A.G.P / Alliance Global Partners other | Other | Feb 19, 2013 | Mar 18, 2013 |
| Christopher S Austin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | A.G.P / Alliance Global Partners other | Other | Jan 7, 2013 | Jan 14, 2013 |
| Pedro Gomez | Morgan Stanley wirehouse | A.G.P / Alliance Global Partners other | Other | May 2, 2011 | Sep 13, 2012 (500 d) |
| Jacob D Heskett | Td Ameritrade Investment Management, LLC other | A.G.P / Alliance Global Partners other | Other | Mar 24, 2011 | Aug 9, 2012 (504 d) |
| Garry Bale | Chase Investment Services Corp. other | A.G.P / Alliance Global Partners BD affiliated | Other | Mar 15, 2010 | Sep 16, 2019 (3472 d) |
| Thomas Howard Arthur | Chase Investment Services Corp. other | A.G.P / Alliance Global Partners other | Other | Mar 4, 2010 | Apr 5, 2010 (32 d) |
| Joseph Robert Romano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | A.G.P / Alliance Global Partners other | Other | Feb 9, 2010 | Jan 13, 2011 (338 d) |
| Alphonse John Calicchio | Jcal Capital Management, LLC unclassified | A.G.P / Alliance Global Partners other | Other | Dec 31, 2009 | Jul 23, 2009 |
| Michael Gerard Pento | Delta Global Advisors unclassified | A.G.P / Alliance Global Partners other | Other | Dec 31, 2009 | Sep 21, 2010 (264 d) |
| James Owens | Ameriprise Financial Services, LLC national BD | A.G.P / Alliance Global Partners other | Other | Oct 12, 2009 | Oct 15, 2009 |
| Kevin Matthew Halifax | Wells Fargo Investments, LLC unclassified | A.G.P / Alliance Global Partners other | Other | Oct 2, 2009 | Aug 1, 2012 (1034 d) |
126 moves match.