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
Miguel Andres PascualUBS Financial Services Inc. wirehouseAegis Capital Corp. otherOtherDec 31, 2013Jun 12, 2015 (528 d)
Andrew George GergatsoulisProspera Financial Services, Inc. otherAegis Capital Corp. otherOtherNov 5, 2013Nov 6, 2013
Adam Douglas LorraineRevere Securities LLC unclassifiedAegis Capital Corp. BD affiliatedOtherOct 9, 2013Jul 27, 2021 (2848 d)
Elizabeth Anne NewmanMorgan Stanley wirehouseAegis Capital Corp. otherOtherFeb 25, 2013Feb 19, 2013
David Lawrence KanenWfg Advisors, LP otherAegis Capital Corp. otherOtherNov 30, 2012Dec 4, 2012
Anthony Gerald PolakMaxim Financial Advisors LLC otherAegis Capital Corp. BD affiliatedOtherNov 12, 2012Aug 6, 2026 (5015 d)
Brian David RockowitzPaulson Investment Company, LLC otherAegis Capital Corp. otherOtherFeb 29, 2012Feb 29, 2012
Francis J MckennaMorgan Stanley wirehouseAegis Capital Corp. BD affiliatedWirehouse to affiliated broker-dealer or bankDec 21, 2011Dec 8, 2023 (4370 d)
Joshua Lawrence FeldmanFmsi Advisers otherAegis Capital Corp. otherOtherDec 16, 2011Dec 2, 2011
Peter Elliot HirshJanney Montgomery Scott LLC otherAegis Capital Corp. otherOtherDec 12, 2011Dec 9, 2011
Fred Michael PisculliHsbc Securities (USA) Inc. otherAegis Capital Corp. otherOtherDec 12, 2011Dec 2, 2011
Hector CrespoNfsg Corporation otherAegis Capital Corp. otherOtherJun 23, 2011Jun 29, 2011
Stephen M DigennaroAtlantic Wealth Mangement, Corp. unclassifiedAegis Capital Corp. otherOtherJun 2, 2011Mar 29, 2010
Henry J LiuChase Investment Services Corp. otherAegis Capital Corp. otherOtherDec 16, 2010Mar 11, 2011 (85 d)
Scott Wayne PowellOsaic Fs, Inc. otherAegis Capital Corp. otherOtherApr 23, 2010Apr 26, 2010
Dominick Vincent PullanoGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 30, 2010Mar 29, 2010
Steven D IrchaGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 30, 2010Apr 22, 2010
Joseph R TedeschiGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 30, 2010Apr 6, 2010
Ajit Singh AjmaniGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 30, 2010Mar 23, 2010
Sanford Elliott SteinbergGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 30, 2010Mar 23, 2010
Scott Douglas SamuelsGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 29, 2010Mar 25, 2010
Brendan James BogartGunnallen Financial, Inc unclassifiedAegis Capital Corp. BD affiliatedOtherMar 29, 2010Feb 23, 2021 (3984 d)
Philip William MichalsGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 29, 2010Mar 29, 2010
Brian MckevittGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 29, 2010Mar 26, 2010
Thomas M DowlingGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 29, 2010Mar 24, 2010
Dennis Walter SinghGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 29, 2010Apr 6, 2010
Robert S ChapmanGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 29, 2010Apr 6, 2010
Alexander Vlad YelenskyGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 26, 2010Mar 23, 2010
David Stewart SilbergGunnallen Financial, Inc unclassifiedAegis Capital Corp. otherOtherMar 2, 2010Feb 22, 2010
Michelle PerresClark Dodge & Co., Inc. unclassifiedAegis Capital Corp. otherOtherJun 1, 2009Feb 2, 2017 (2803 d)
Joshua Robert BargOppenheimer & Co. Inc. otherAegis Capital Corp. otherOtherAug 30, 2006Aug 17, 2006
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151 moves match.