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 Capital Client Group, 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
Allison Marie Straub	Pgim Investments LLC asset manager	Capital Client Group, Inc. no RAUM	Other	Jul 23, 2019	Aug 13, 2019
Tyler James Miller	Stifel, Nicolaus & Company, Incorporated national BD	Capital Client Group, Inc. no RAUM	Other	Jul 18, 2019	Aug 5, 2019
Tyler Joseph Magie	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Other	Jul 10, 2019	Jul 26, 2019
Kim Renee Carney	Invesco Advisers, Inc. asset manager	Capital Client Group, Inc. no RAUM	Other	Jul 9, 2019	Jul 18, 2019
Kelly Suzette Simon	Albourne America LLC no RAUM	Capital Client Group, Inc. no RAUM	Other	May 31, 2019	Dec 18, 2020 (567 d)
Alexander Joseph Streusand	Invesco Advisers, Inc. asset manager	Capital Client Group, Inc. no RAUM	Other	May 31, 2019	Mar 30, 2026 (2495 d)
Kristofer Jon Debonville	Putnam Investment Management, LLC asset manager	Capital Client Group, Inc. no RAUM	Other	May 28, 2019	Jul 19, 2019 (52 d)
Ryan Andrew Gundrum	J.P. Morgan Securities LLC wirehouse	Capital Client Group, Inc. no RAUM	Other	May 16, 2019	May 21, 2019
Gilbert Castillo	Swbc Investment Company independent RIA	Capital Client Group, Inc. no RAUM	Other	Mar 25, 2019	May 9, 2019 (45 d)
Britney Lively Melvin	John Hancock Investment Management LLC asset manager	Capital Client Group, Inc. no RAUM	Other	Mar 5, 2019	Mar 11, 2019
Joshua Brett Goodson	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Other	Jan 25, 2019	Feb 12, 2019
Connor Simpkins	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Other	Jan 25, 2019	Jun 24, 2019 (150 d)
Gregory Killingsworth Smith	Ameriprise Financial Services, LLC national BD	Capital Client Group, Inc. no RAUM	Other	Jan 18, 2019	Feb 13, 2019
Shane Michael Fagan	Charles Schwab & Co., Inc. national BD	Capital Client Group, Inc. no RAUM	Other	Jan 10, 2019	Feb 22, 2019 (43 d)
Kevin Suen	Principal Securities, Inc. BD affiliated	Capital Client Group, Inc. no RAUM	Other	Jan 2, 2019	Jan 15, 2019
Monique Edwards West	Nationwide Investment Advisors, LLC BD affiliated	Capital Client Group, Inc. no RAUM	Other	Oct 16, 2018	Nov 2, 2018
John Rivera	Morgan Stanley wirehouse	Capital Client Group, Inc. no RAUM	Other	Oct 2, 2018	Apr 7, 2020 (553 d)
Jacqueline Santos	Midwestern Securities Trading Co.,LLC independent RIA	Capital Client Group, Inc. no RAUM	Other	Sep 13, 2018	Oct 11, 2018
Michael Sheldon Hukriede	Fidelity Personal And Workplace Advisors BD affiliated	Capital Client Group, Inc. no RAUM	Other	Aug 24, 2018	Oct 10, 2018 (47 d)
Gareth William Vaz	Charles Schwab & Co., Inc. national BD	Capital Client Group, Inc. no RAUM	Other	Aug 14, 2018	Sep 7, 2018
Antonio Marcel Bass	T. Rowe Price Associates, Inc. asset manager	Capital Client Group, Inc. no RAUM	Other	Jul 16, 2018	Aug 10, 2018
Nicholas James Hargreaves	Advice And Planning Services BD affiliated	Capital Client Group, Inc. no RAUM	Other	May 30, 2018	Jul 5, 2018 (36 d)
Adam Christopher Lozano	Usaa Investment Services Company BD affiliated	Capital Client Group, Inc. no RAUM	Other	May 23, 2018	Oct 5, 2018 (135 d)
Davina Jean Merrell	Oneamerica Securities, Inc. BD affiliated	Capital Client Group, Inc. no RAUM	Other	May 22, 2018	Jan 9, 2024 (2058 d)
Melissa Britton Roe	Nuveen Asset Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 11, 2018	Apr 26, 2018
Dylan John Burdick	Capital One Advisors, LLC other	Capital Client Group, Inc. no RAUM	Other	Mar 26, 2018	Jul 12, 2023 (1934 d)
Kyle Randall Hindman	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Other	Mar 6, 2018	May 7, 2018 (62 d)
Angelia Gail Hunter	Nuveen Asset Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Feb 14, 2018	Feb 8, 2019 (359 d)
Jonathan David Harris	The Prudent Expert LLC unclassified	Capital Client Group, Inc. no RAUM	Other	Feb 13, 2018	Mar 8, 2018
Megan Elise France	Federated Global Investment Management Corp. other	Capital Client Group, Inc. no RAUM	Other	Jan 5, 2018	Jun 4, 2024 (2342 d)
Michael Moses Halfon	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Other	Nov 28, 2017	Dec 12, 2017
Logan Daniel Murphy	Foresters Advisory Services, LLC other	Capital Client Group, Inc. no RAUM	Other	Nov 28, 2017	Jan 3, 2018 (36 d)
Claudette Grant	Rpk Capital Management unclassified	Capital Client Group, Inc. no RAUM	Other	Nov 17, 2017	Dec 1, 2017
Ka Wai Chan	American Beacon Advisors, Inc. other	Capital Client Group, Inc. no RAUM	Other	Nov 7, 2017	Feb 3, 2021 (1184 d)
Edward Zachary Trevino	MML Investors Services, LLC other	Capital Client Group, Inc. no RAUM	Other	Sep 29, 2017	Nov 1, 2017 (33 d)
Brandon Paul Grady	MML Investors Services, LLC other	Capital Client Group, Inc. no RAUM	Other	Sep 28, 2017	Oct 10, 2017
Ryan Thomas Price	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Other	Aug 29, 2017	Sep 22, 2017
Christopher Sean Anast	Towers Watson Investment Services, Inc. other	Capital Client Group, Inc. no RAUM	Other	Jul 27, 2017	Aug 14, 2024 (2575 d)
Melania Mccarley	Valeo Financial Advisors, LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 23, 2017	Jun 27, 2017
Broderic Charles Schoen	Charter Advisory Corporation independent RIA	Capital Client Group, Inc. no RAUM	Other	May 5, 2017	Jun 7, 2017 (33 d)
Jeffrey Neal Malbasa	Cerity Partners LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 20, 2017	Apr 24, 2017
Joshua James Smith	Blackrock Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Mar 7, 2017	Jun 4, 2018 (454 d)
Joshua Ryan Green	Invesco Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Mar 3, 2017	Mar 23, 2017
Joseph Byron Dowd	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Other	Jan 23, 2017	Aug 15, 2018 (569 d)
Eric Evan Momcilovich	Globalt Investments other	Capital Client Group, Inc. no RAUM	Other	Jan 6, 2017	Feb 7, 2017 (32 d)
Paul Jason Brewer	LPL Financial LLC other	Capital Client Group, Inc. no RAUM	Other	Dec 13, 2016	Jan 10, 2017
Charles Thomas Akin	Blackrock Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Jul 26, 2016	Aug 12, 2016
Mark Joseph Comire	Waddell & Reed other	Capital Client Group, Inc. no RAUM	Other	Jun 15, 2016	Mar 3, 2025 (3183 d)
Philip Louis Casciano	Blackrock Financial Management, Inc other	Capital Client Group, Inc. no RAUM	Other	May 24, 2016	Jun 9, 2016
James Garfield Carville	Blackrock Fund Advisors other	Capital Client Group, Inc. no RAUM	Other	May 17, 2016	Jun 20, 2016 (34 d)
Melissa Lynne Fitzgerald	Guggenheim Partners Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 13, 2016	Mar 22, 2025 (3265 d)
Russell Winston Tipper	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Other	Jan 7, 2016	Feb 9, 2016 (33 d)
Zachary Adam Cutkomp	Fsb Premier Wealth Management, Inc. other	Capital Client Group, Inc. no RAUM	Other	Nov 27, 2015	Jan 6, 2020 (1501 d)
Jordan T Krantz	UBS Financial Services Inc. wirehouse	Capital Client Group, Inc. no RAUM	Other	Sep 17, 2015	Aug 28, 2018 (1076 d)
Peter Englund	Ameriprise Financial Services, LLC national BD	Capital Client Group, Inc. no RAUM	Other	Aug 26, 2015	Oct 16, 2015 (51 d)
Austin Lane	J.P. Morgan Securities LLC wirehouse	Capital Client Group, Inc. no RAUM	Other	Aug 25, 2015	Oct 9, 2015 (45 d)
Thomas Olan Yager	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Other	Aug 17, 2015	Sep 28, 2015 (42 d)
Daniel Aaron Fritz	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Other	Jun 11, 2015	Sep 21, 2015 (102 d)
Julia Michelle Petersen	Employer Retirement Investment Advisors, LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 10, 2015	Jun 30, 2016 (386 d)
David Robert Hreha	Lord, Abbett & Co. LLC other	Capital Client Group, Inc. no RAUM	Other	May 12, 2015	May 27, 2015

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308 moves match.