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 Frost Investment Services

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
Mark Andrew GuajardoInvestment Professionals, Inc. otherFrost Investment Services no RAUMOtherMar 24, 2016Feb 2, 2017 (315 d)
Stephanie Denise VosperJ.P. Morgan Securities LLC wirehouseFrost Investment Services otherOtherJul 21, 2015Jun 22, 2017 (702 d)
Sandra A DelagarzaWells Fargo Advisors wirehouseFrost Investment Services BD affiliatedWirehouse to affiliated broker-dealer or bankJan 23, 2015Jan 28, 2021 (2197 d)
Christina Courtney RodgersWells Fargo Advisors wirehouseFrost Investment Services otherOtherJan 2, 2015Jun 22, 2017 (902 d)
Rolando Jose GinyovszkyJ.P. Morgan Securities LLC wirehouseFrost Investment Services otherOtherJun 3, 2014Oct 5, 2017 (1220 d)
Michael ValadezJ.P. Morgan Securities LLC wirehouseFrost Investment Services otherOtherApr 25, 2014Sep 5, 2017 (1229 d)
Mark Ian ItnyreWells Fargo Advisors wirehouseFrost Investment Services no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Apr 21, 2014Jan 9, 2017 (994 d)
Robert James BazanValic Financial Advisors, Inc. otherFrost Investment Services BD affiliatedOtherDec 5, 2013Aug 26, 2020 (2456 d)
Luis Felipe CastilloJ.P. Morgan Securities LLC wirehouseFrost Investment Services otherOtherNov 7, 2013Oct 5, 2017 (1428 d)
Pura Gloria ConnorWells Fargo Advisors wirehouseFrost Investment Services otherOtherJun 12, 2012Jun 22, 2017 (1836 d)
Norma Alcira MartinezWells Fargo Advisors wirehouseFrost Investment Services otherOtherNov 4, 2011Oct 5, 2017 (2162 d)
Raul ValenciaOsaic Wealth, Inc. otherFrost Investment Services otherOtherSep 19, 2011Oct 6, 2017 (2209 d)
Roberto AburtoChase Investment Services Corp. otherFrost Investment Services BD affiliatedOtherAug 24, 2011May 28, 2025 (5026 d)
Garrick Michael BehelferCredit Suisse Securities (USA) LLC otherFrost Investment Services no RAUMOtherSep 3, 2010Feb 8, 2017 (2350 d)
Laura F CropoNorthern Trust Securities, Inc no RAUMFrost Investment Services BD affiliatedOtherDec 31, 2009Dec 6, 2018 (3262 d)
Thomas P CagleSouth Texas Money Management, Ltd. otherFrost Investment Services BD affiliatedOtherNov 5, 2009Aug 23, 2019 (3578 d)
Lidiya Zenonovna GoldLPL Financial LLC otherFrost Investment Services otherOtherOct 24, 2008Jun 17, 2017 (3158 d)
Veronica Marie PayneWells Fargo Investments, LLC unclassifiedFrost Investment Services otherOtherSep 8, 2008Jun 22, 2017 (3209 d)
Yvette WebbMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFrost Investment Services no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jul 11, 2008Jan 9, 2017 (3104 d)
Noe LopezUvest Financial Services Group, Inc. unclassifiedFrost Investment Services otherOtherFeb 8, 2008Sep 15, 2017 (3507 d)
Samuel Refugio LopezWells Fargo Investments, LLC unclassifiedFrost Investment Services otherOtherMay 7, 2007Jun 22, 2017 (3699 d)
Gilbert Michael AraizaJ.P. Morgan Asset Management unclassifiedFrost Investment Services otherOtherDec 31, 2005Sep 11, 2017 (4272 d)
Pierre T MarcheboutMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFrost Investment Services no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Oct 12, 2005Feb 8, 2017 (4137 d)
Ivona Malgorzata KostulakMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFrost Investment Services no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Nov 22, 2004Feb 8, 2017 (4461 d)
Craig Steven MillerValic Financial Advisors, Inc. otherFrost Investment Services no RAUMOtherOct 20, 2003Jan 9, 2017 (4830 d)
Harvey Ted FladelandInvesco unclassifiedFrost Investment Services BD affiliatedOtherJul 9, 2003Oct 1, 2025 (8120 d)
Christopher Bryan MasseyConcourse Financial Group Advisors otherFrost Investment Services otherOtherOct 18, 2002Dec 18, 2017 (5540 d)
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147 moves match.