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
Brian C Kaplan	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Mar 1, 2007	Feb 20, 2007
David Brian Holmes	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 16, 2007	Feb 22, 2007
Gregory Lynn Planck	Morgan Stanley Dw Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 9, 2007	Jan 9, 2007
William Andrew Hamilton Rhodes	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Dec 19, 2006	Dec 19, 2006
Shannon Julia Simar	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Dec 8, 2006	Sep 19, 2008 (651 d)
Joseph Anthony Vinci	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 5, 2006	Jul 10, 2008 (583 d)
Anne Louise Grant	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 1, 2006	Dec 12, 2006
Rachael Kathe Reeves	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Nov 24, 2006	Dec 11, 2006
M Diane Jefferies Wakefield	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Nov 15, 2006	Aug 5, 2008 (629 d)
Paul (Nmn) Fulton	Scott & Stringfellow, LLC other	Deutsche Bank Securities Inc. other	Other	Oct 23, 2006	Oct 20, 2006
Frank Woods Winford	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Oct 14, 2006	Oct 10, 2006
Keith Larkin	Neuberger Berman Bd LLC other	Deutsche Bank Securities Inc. other	Other	Oct 10, 2006	Oct 11, 2006
Jon Eric Bost	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 25, 2006	Sep 25, 2006
Jay Pickett	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Sep 25, 2006	Sep 25, 2006
Marci Ann Rosenfeld	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Sep 14, 2006	Jul 9, 2008 (664 d)
Nathan Richardson Allen	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 12, 2006	Aug 31, 2006
John George Uriostegui	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 25, 2006	Aug 23, 2006
Rod Yoshio Nakamoto	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 25, 2006	Aug 25, 2006
Regina Rochelle Monroe	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Aug 25, 2006	Aug 23, 2006
John Stephen Heck	Northern Trust Securities, Inc no RAUM	Deutsche Bank Securities Inc. other	Other	Aug 7, 2006	Aug 4, 2006
Michael Sztrom	Rjl Financial Network, L.L.C. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 15, 2006	Apr 25, 2007 (314 d)
Kevin Michael Gai	Morgan Stanley Dw Inc. unclassified	Deutsche Bank Securities Inc. other	Other	May 24, 2006	Jul 20, 2006 (57 d)
Daniel Lord Austin	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	May 22, 2006	May 12, 2006
Vincent Mallozzi	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	May 11, 2006	May 2, 2006
Martin Gerard Leclerc	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	May 9, 2006	Feb 7, 2007 (274 d)
Daniel Jonathan Gray	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Apr 21, 2006	May 3, 2006
Herald William Podger	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Apr 18, 2006	Apr 21, 2006
Cheryl Lee Paller	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Apr 3, 2006	Apr 17, 2006
Heinz Jaeggi	UBS International Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Mar 14, 2006	Mar 29, 2006
Stefan Felix Lendi	UBS International Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Mar 14, 2006	Mar 29, 2006
William Jeffrey Neal	J.P. Morgan Securities LLC wirehouse	Deutsche Bank Securities Inc. other	Other	Mar 3, 2006	Feb 24, 2006
Christopher Biotti	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Feb 17, 2006	Apr 12, 2006 (54 d)
Eric Mark Behr	Advest, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Dec 13, 2005	Nov 22, 2005
Denise M Rodriguez	Morgan Stanley Dw Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Dec 5, 2005	Dec 8, 2005
Ron L Guidi	S & Y Asset Management LLC unclassified	Deutsche Bank Securities Inc. other	Other	Nov 7, 2005	Jul 20, 2006 (255 d)
Anthony William Rizzo	Legg Mason Wood Walker, Incorporated unclassified	Deutsche Bank Securities Inc. other	Other	Oct 12, 2005	Oct 10, 2005
Roy N Apple	Legg Mason Wood Walker, Incorporated unclassified	Deutsche Bank Securities Inc. other	Other	Oct 11, 2005	Oct 10, 2005
Jeremy Scott Schneider	Legg Mason Wood Walker, Incorporated unclassified	Deutsche Bank Securities Inc. other	Other	Oct 11, 2005	Oct 10, 2005
Susan Mary Thornton	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 9, 2005	Sep 8, 2005
Jo Ellen Pontius	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 9, 2005	Sep 16, 2005
Barry Marc Sobel	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 9, 2005	Sep 8, 2005
Tony Roscoe Pruitt	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Sep 9, 2005	Sep 8, 2005
Holli Joelle Rigdon	A. G. Edwards & Sons, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Aug 31, 2005	Feb 27, 2009 (1276 d)
Henry Zee Persons	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Aug 11, 2005	Aug 8, 2005
Laurie Ellen Madenfort	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 21, 2005	Jun 21, 2005
Paul Spencer Checketts	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Jun 17, 2005	Apr 17, 2007 (669 d)
Thomas Hobbs	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 13, 2005	Jun 16, 2005
Edward Charles Maier	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 13, 2005	Jun 14, 2005
Michael Thomas Huntsman	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 8, 2005	Jun 7, 2005
Michael John Tusing	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 7, 2005	Jun 7, 2005
Charles Garrett Mutz	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	May 20, 2005	May 6, 2005
Edward Thomas Kennedy	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Apr 5, 2005	Apr 5, 2005
Brendan Diarmuid Connaughton	Banc Of America Investment Services, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Mar 31, 2005	May 10, 2006 (405 d)
Ana Razel Santarina	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 22, 2005	Feb 24, 2005
Susan Marie Hill	Morgan Stanley Dw Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jan 18, 2005	Jan 18, 2005
Douglas Simon	Alliancebernstein L.P. other	Deutsche Bank Securities Inc. other	Other	Oct 19, 2004	Mar 1, 2007 (863 d)
Joshua J. Morgan	Thrivent Investment Management Inc. other	Deutsche Bank Securities Inc. other	Other	Oct 9, 2004	Apr 12, 2006 (550 d)
Ray Larry Burns	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Jul 27, 2004	Jul 20, 2004
Scott Alan Ashmore	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	Jul 27, 2004	Jul 19, 2004
Alan Frederic Myers	Morgan Stanley Dw Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jul 20, 2004	Jul 23, 2004

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262 moves match.