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 E*Trade Capital Management, LLC
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 |
|---|---|---|---|---|---|
| Samuel J Leidholm | Northwestern Mutual Investment Services,LLC no RAUM | E*Trade Capital Management, LLC independent RIA | Other | May 25, 2021 | Jul 27, 2021 (63 d) |
| Kevin Bast | Vanguard Advisers, Inc. BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2021 | Feb 11, 2022 (263 d) |
| Sonny David Edward Licata | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | May 5, 2021 | May 17, 2021 |
| Herschel Diaz | Edward Jones national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2021 | May 27, 2021 |
| Jacob Depillo | MML Investors Services, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 27, 2021 | May 26, 2021 |
| Julie Alger | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2021 | Jun 7, 2021 (42 d) |
| Nathan J Boenish | Pruco Securities, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2021 | Mar 1, 2022 (309 d) |
| Kristen Maley Andrejev | Sbsb Financial Advisors independent RIA | E*Trade Capital Management, LLC other | Other | Apr 13, 2021 | Feb 14, 2003 |
| Peter Charles Speros | Sbsb Financial Advisors independent RIA | E*Trade Capital Management, LLC other | Other | Apr 13, 2021 | Feb 14, 2003 |
| Jennifer Bevin Quigley | Sbsb Financial Advisors independent RIA | E*Trade Capital Management, LLC other | Other | Apr 13, 2021 | Feb 14, 2003 |
| Levi T Waters | Edward Jones national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 7, 2021 | Apr 29, 2021 |
| Tyson S Toner | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2021 | Jun 16, 2022 (437 d) |
| Geoff C Newman | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2021 | May 6, 2021 (31 d) |
| Daniel S Brennan | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2021 | Sep 24, 2021 (177 d) |
| Joshua Bailey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Mar 18, 2021 | Mar 18, 2021 |
| Carter Cannon | J.P. Morgan Securities LLC wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Mar 9, 2021 | Mar 10, 2021 |
| Michael Philip Kalter | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Mar 3, 2021 | Sep 22, 2021 (203 d) |
| Andrew D Vasquez | Edward Jones national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2021 | Apr 22, 2021 (52 d) |
| Aakash P Patel | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2021 | Mar 18, 2021 |
| Jeffrey Y Liang | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 8, 2021 | Aug 26, 2021 (199 d) |
| Robert Bruce Reay | J.P. Morgan Securities LLC wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Feb 1, 2021 | Feb 11, 2021 |
| Jonathan Yakin Fernandez | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2021 | Feb 19, 2021 |
| Kevin T Sheehan | J.P. Morgan Securities LLC wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Jan 25, 2021 | Feb 3, 2021 |
| Kiersten J Large | Ep Wealth Advisors independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Jan 21, 2021 | Apr 26, 2021 (95 d) |
| Daryl Gaskin | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Mar 4, 2021 (52 d) |
| Allen Paul Braunbeck | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | May 26, 2021 (135 d) |
| Bao Q Le | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Jan 14, 2021 |
| Joey S Katz | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Jul 8, 2021 (178 d) |
| Gabriel Taylor | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Feb 19, 2021 (39 d) |
| Andrew D Miller | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Jan 15, 2021 |
| Michael Jordan Margolis | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Feb 1, 2021 |
| Thaddeus M Bienko | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Mar 30, 2021 (78 d) |
| Zachary J Falbo | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Jul 14, 2021 (184 d) |
| Ryan Montes | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Jan 11, 2021 | Jan 14, 2021 |
| Thomas J Casey | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 4, 2021 | Jan 7, 2021 |
| Mark S Sargon | Saxony Capital Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Nov 23, 2021 (327 d) |
| Brian M Schwab | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Jul 14, 2021 (195 d) |
| Brian A. Carlin | Td Ameritrade Investment Management, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Dec 31, 2020 | Jan 5, 2021 |
| Carlo Della Mea | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2020 | Jan 7, 2021 |
| Mary Holliday | MML Investors Services, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2020 | Jan 8, 2021 |
| Matthew J Thompson | Northern Trust Securities, Inc BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 15, 2020 | Mar 18, 2021 (93 d) |
| Jordan Whipple | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2020 | Jan 11, 2021 (31 d) |
| Lisa L Bowers | Soltis Investment Advisors, LLC independent RIA | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Nov 20, 2020 | Mar 23, 2023 (853 d) |
| Rico Otway | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC independent RIA | Other | Nov 19, 2020 | Oct 22, 2020 |
| Michael Cong Truong | J.P. Morgan Securities LLC wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Nov 17, 2020 | Nov 3, 2020 |
| Matthew Kulka | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 17, 2020 | Dec 1, 2020 |
| Bradley P Jerome | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Nov 16, 2020 | Nov 18, 2020 |
| David A Torres | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 9, 2021 (208 d) |
| Daren L Queenan | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 3, 2021 (202 d) |
| Christopher J Arcuri | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 4, 2021 (203 d) |
| Matthew Brian Ellis | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 4, 2021 (111 d) |
| Nadia Baig | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 12, 2020 |
| Steven R Taylor | Edward Jones national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2020 | Dec 17, 2020 (41 d) |
| Jameson K Stady | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2020 | Nov 9, 2020 |
| Aaron Wargo | Robert W. Baird & Co. Incorporated mixed wealth | E*Trade Capital Management, LLC independent RIA | RIA to RIA | Nov 3, 2020 | Nov 9, 2020 |
| Sean Michael Racz | Edward Jones national BD | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 30, 2020 | Nov 2, 2020 |
| Mark Evan Weinstein | Spire Wealth Management, LLC BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 29, 2020 | Oct 29, 2020 |
| Andrew M Cryar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC independent RIA | Wirehouse to independent RIA | Oct 29, 2020 | Nov 2, 2020 |
| Aaron Todd Henson | Fidelity Personal And Workplace Advisors BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2020 | Oct 27, 2020 |
| Eric Messer | Truist Advisory Services, Inc. BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2020 | Nov 4, 2020 |
865 moves match.