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
John Felix Kurutz	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Mar 16, 2009	Feb 19, 2009
Joshua Lee Skivington	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 11, 2009	Mar 25, 2009
Daniel Kay	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Mar 5, 2009	May 3, 2010 (424 d)
Brian Francis Pocock	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 17, 2009	Feb 11, 2009
Andrew F Hearon	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 13, 2009	May 19, 2009 (95 d)
Robert Paul Kenney	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 16, 2008	Dec 8, 2008
Peter Nicholas Tortorici	Blackrock Financial Management, Inc other	Deutsche Bank Securities Inc. other	Other	Dec 5, 2008	Nov 22, 2010 (717 d)
Pierre Economacos	UBS International Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Nov 24, 2008	Dec 15, 2008
John M Delappe	UBS International Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Nov 24, 2008	Jan 14, 2009 (51 d)
Martha Elena Bermudez	UBS International Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Nov 24, 2008	Feb 6, 2009 (74 d)
Mariana Foerster	UBS International Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Nov 24, 2008	Dec 9, 2008
Kristen Noelle Roder	Guggenheim Investments other	Deutsche Bank Securities Inc. other	Other	Nov 4, 2008	Feb 16, 2010 (469 d)
Wilfredo Willie Figueroa	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Oct 6, 2008	Oct 6, 2008
John Wesley Davis	RBC Capital Markets, LLC national BD	Deutsche Bank Securities Inc. other	Other	Sep 26, 2008	Oct 23, 2008
Darian Jason Cohen	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 24, 2008	Sep 18, 2008
Leticia Lamar Perrine	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 24, 2008	Sep 18, 2008
Cody A Barrick	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 24, 2008	Sep 17, 2008
William Allen Webb	Cross Creek Capital Management unclassified	Deutsche Bank Securities Inc. other	Other	Sep 22, 2008	Dec 3, 2008 (72 d)
Daniel Patrick Pan	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 18, 2008	Sep 15, 2008
Theresa Sharon Durnbaugh	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 6, 2008	Jul 21, 2008
Stephen Alan Colavito	J.P. Morgan Securities LLC wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 26, 2008	Jun 17, 2008
Kelia Dawn Coffey	Morgan Stanley & Co. LLC unclassified	Deutsche Bank Securities Inc. other	Other	Jun 16, 2008	Jun 17, 2008
Debora Ryder	Morgan Stanley & Co. LLC unclassified	Deutsche Bank Securities Inc. other	Other	Jun 9, 2008	Jun 16, 2008
Trevor Blakeslee Colby	RBC Capital Markets, LLC national BD	Deutsche Bank Securities Inc. other	Other	May 30, 2008	May 27, 2008
Dylan Mortenson Colby	RBC Capital Markets, LLC national BD	Deutsche Bank Securities Inc. other	Other	May 30, 2008	May 28, 2008
Jennifer Kao	RBC Capital Markets, LLC national BD	Deutsche Bank Securities Inc. other	Other	May 30, 2008	Jun 3, 2008
Douglas Scott Wall	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	May 21, 2008	May 13, 2008
Thomas Hargrove	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	May 21, 2008	May 13, 2008
Richard Kayser Parker	J.P. Morgan Securities LLC wirehouse	Deutsche Bank Securities Inc. other	Other	May 20, 2008	Oct 14, 2008 (147 d)
Shanker Lal Sadhwani	J.P. Morgan Securities LLC wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 9, 2008	Oct 15, 2013 (2015 d)
Aleksandra Kulmaticki	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 26, 2008	Mar 13, 2008
Antoine Nabih Souma	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 26, 2008	Mar 13, 2008
Maya Gorokhovskiy	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 29, 2008	Apr 23, 2008 (54 d)
Charles Kirkland Davis	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jan 17, 2008	Aug 11, 2008 (207 d)
Gregory Alan Galbraith	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 11, 2008	Jan 7, 2008
Daniel James Delp	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 11, 2008	Jan 7, 2008
Wayne Cornelius Mccullough	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 11, 2008	Jan 7, 2008
Philip Norman Disspain	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 11, 2008	Jan 8, 2008
Joseph M Estes	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 11, 2008	Jan 8, 2008
Victoria Miller Ricker	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 10, 2008	Dec 12, 2007
Jason Yaworski	Oppenheimer & Co. Inc. other	Deutsche Bank Securities Inc. other	Other	Jan 3, 2008	Apr 23, 2008 (111 d)
Richard Craig Harris	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Dec 13, 2007	Jan 9, 2008
Todd Richard Kingsley	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Dec 13, 2007	Jan 9, 2008
Seth Allen Wernick	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Dec 13, 2007	Jan 9, 2008
Allen Reece	Chase Investment Services Corp. other	Deutsche Bank Securities Inc. other	Other	Dec 4, 2007	Dec 3, 2007
Alisa Singhasri	RBC Capital Markets, LLC national BD	Deutsche Bank Securities Inc. other	Other	Nov 21, 2007	Dec 4, 2007
Andrea B Vice	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Nov 15, 2007	Apr 23, 2008 (160 d)
Brian Thomas Kelley	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Nov 2, 2007	Nov 6, 2007
Melissa Whitney	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Oct 31, 2007	Nov 6, 2012 (1833 d)
Brian Lee Richmond	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Oct 17, 2007	Oct 15, 2007
Benjamin Alan Goldberg	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Oct 16, 2007	Oct 15, 2007
Sean Patrick Edrington	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Sep 11, 2007	Sep 7, 2007
Eric Mitchell Fingleson	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Sep 11, 2007	Sep 13, 2007
Lemuel Lee Daniels	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Sep 10, 2007	Sep 6, 2007
Mac Davis Hargrove	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 4, 2007	Jul 30, 2007
Cheryl Ann Rudolphi	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Jul 24, 2007	Jun 29, 2007
Melissa Weakly Hess	Geneos Wealth Management, Inc. other	Deutsche Bank Securities Inc. other	Other	Jun 18, 2007	Nov 30, 2007 (165 d)
James Hunter Dryden	Northern Trust Securities, Inc no RAUM	Deutsche Bank Securities Inc. other	Other	Jun 11, 2007	Jun 12, 2007
Benjamen Charles Fagerlind	Northern Trust Securities, Inc no RAUM	Deutsche Bank Securities Inc. other	Other	Jun 11, 2007	Jun 12, 2007
Mark Andrew Pittsey	Wells Fargo Investments, LLC unclassified	Deutsche Bank Securities Inc. other	Other	Apr 4, 2007	Aug 2, 2007 (120 d)

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262 moves match.