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
Kevin Gerard Betts	Bny Mellon Securities Corporation other	Capital Client Group, Inc. no RAUM	Other	May 6, 2015	May 18, 2015
Ryan Daniel Tiernan	Columbia Management Investment Advisers, LLC other	Capital Client Group, Inc. no RAUM	Other	Mar 5, 2015	Aug 12, 2016 (526 d)
Conrad Francis Metzger	Invesco Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Mar 3, 2015	Dec 19, 2016 (657 d)
Peter Daymon Thatch	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Other	Nov 21, 2014	Mar 5, 2015 (104 d)
Caleb Scott Mcsorley	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Other	Oct 30, 2014	Feb 25, 2015 (118 d)
Nicholas Charles Liberi	Equinox Fund Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Sep 23, 2014	Oct 14, 2014
Brian Michael Walsh	Columbia Management Investment Advisers, LLC other	Capital Client Group, Inc. no RAUM	Other	Aug 1, 2014	Aug 14, 2014
Dillon Willis Lull	Russell Investments other	Capital Client Group, Inc. no RAUM	Other	Jul 18, 2014	Aug 14, 2014
Thea Rae Lewis	Sierra Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Jul 11, 2014	Jun 16, 2014
Thomas Wiegand	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Other	Jul 1, 2014	Jul 30, 2014
Matthew Joseph Eisenhardt	Blackrock Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 3, 2014	Jun 5, 2014
Mark Allen Dence	Columbia Management Investment Advisers, LLC other	Capital Client Group, Inc. no RAUM	Other	May 19, 2014	Jun 5, 2014
Kate Marie Turner	Planmember Securities Corporation other	Capital Client Group, Inc. no RAUM	Other	May 14, 2014	Apr 28, 2017 (1080 d)
Sam Salim Gumma	Manulife Investment Management (US) LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 11, 2014	Apr 22, 2014
William Griffin Bridge	Blackrock Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 2, 2014	Apr 22, 2014
Justin Appel	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Mar 18, 2014	Apr 24, 2014 (37 d)
Melissa Ann Sloane	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Mar 3, 2014	Mar 7, 2014
Nicole Chamberlin Mcgoff	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Feb 19, 2014	Feb 24, 2014
Benjamin James Miller	Nationwide Investment Advisors, LLC other	Capital Client Group, Inc. no RAUM	Other	Feb 12, 2014	Feb 12, 2014
Alex Lee Dapron	J.P. Morgan Securities LLC wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jan 3, 2014	Jan 30, 2014
Robert Landon Patterson	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Jan 3, 2014	Aug 8, 2014 (217 d)
Greggory Jonas Cowan	Osaic Fa, Inc. other	Capital Client Group, Inc. no RAUM	Other	Dec 26, 2013	Jan 3, 2014
Pamela Ann Gillett	Stancorp Investment Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Dec 4, 2013	Dec 11, 2013
John Edward Dwyer	Neuberger Berman Bd LLC other	Capital Client Group, Inc. no RAUM	Other	Dec 3, 2013	Dec 18, 2013
Justin Lawrence Linder	Wealth Management Partners LLC state registered	Capital Client Group, Inc. no RAUM	Other	Nov 25, 2013	Nov 25, 2013
Anthony James Camilleri	Invesco Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Nov 4, 2013	Nov 7, 2013
Kristina Elizabeth Page	Allspring Funds Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Nov 4, 2013	Nov 7, 2013
Matthew Mcvay Robinson	Columbia Management Investment Advisers, LLC other	Capital Client Group, Inc. no RAUM	Other	Oct 29, 2013	Nov 7, 2013
Scott William Blaney	LPL Financial LLC other	Capital Client Group, Inc. no RAUM	Other	Oct 22, 2013	Oct 25, 2013
Anthony Joseph Picerni	UBS Financial Services Inc. wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Oct 14, 2013	Feb 4, 2015 (478 d)
Kenneth S Krell	Osaic Fa, Inc. other	Capital Client Group, Inc. no RAUM	Other	Aug 8, 2013	Aug 21, 2013
Evan Francis Francks	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jul 25, 2013	Mar 14, 2022 (3154 d)
Thomas Patrick Halloran	Citigroup Global Markets Inc. other	Capital Client Group, Inc. no RAUM	Other	May 17, 2013	Jun 7, 2013
Philip Andrew Kojich	Raymond James Financial Services Advisors, Inc other	Capital Client Group, Inc. no RAUM	Other	Apr 23, 2013	Oct 17, 2019 (2368 d)
Eric Michael Figueroa	Hsbc Securities (USA) Inc. other	Capital Client Group, Inc. no RAUM	Other	Apr 15, 2013	Mar 31, 2025 (4368 d)
Jameel Shaan Jiwani	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jan 31, 2013	May 14, 2013 (103 d)
Mark Conrad Barile	Morgan Stanley wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jan 17, 2013	Apr 25, 2013 (98 d)
Brendan Michael Jonland	Invesco Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Jan 7, 2013	Apr 25, 2013 (108 d)
David Richard Ford	American Century Advisory Services, Inc. no RAUM	Capital Client Group, Inc. no RAUM	Other	Dec 31, 2012	Jul 9, 2013 (190 d)
Joel James Vanderweele	J.P. Morgan Securities LLC wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Nov 6, 2012	Apr 25, 2013 (170 d)
Joshua Steven Wood	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Capital Client Group, Inc. no RAUM	Other	Nov 5, 2012	Apr 25, 2013 (171 d)
Robert Daniel Vigneaux	Allspring Funds Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Sep 24, 2012	Apr 25, 2013 (213 d)
David Duane Smith	William Blair & Company L.L.C. other	Capital Client Group, Inc. no RAUM	Other	Aug 13, 2012	Jun 24, 2013 (315 d)
Peter Stephen Horos	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 29, 2012	Aug 5, 2026 (5150 d)
Jill Mineko Boudreau	Columbia Management Investment Advisers, LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 12, 2012	Apr 25, 2013 (317 d)
Shane Alan Russell	Blackrock Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	May 18, 2012	Apr 25, 2013 (342 d)
Jonathan Charles Young	Compak Asset Management other	Capital Client Group, Inc. no RAUM	Other	May 16, 2012	Apr 25, 2013 (344 d)
John Robert Harley	Invesco Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	May 11, 2012	Apr 25, 2013 (349 d)
Carl Benjamin Meyer	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Mar 28, 2012	Nov 2, 2021 (3506 d)
Michael Jeffrey Clark	Chase Investment Services Corp. other	Capital Client Group, Inc. no RAUM	Other	Mar 15, 2012	Oct 26, 2016 (1686 d)
Christopher Michael Dunlap	Advisors Asset Management, Inc. other	Capital Client Group, Inc. no RAUM	Other	Mar 12, 2012	Apr 25, 2013 (409 d)
Kristen Lynn Nelson	Hefty Wealth Partners other	Capital Client Group, Inc. no RAUM	Other	Mar 2, 2012	Oct 26, 2018 (2429 d)
Kenneth John Hargreaves	Osaic Wealth, Inc. other	Capital Client Group, Inc. no RAUM	Other	Mar 2, 2012	Jun 24, 2013 (479 d)
Peter Avery Olsen	Columbia Management Investment Advisers, LLC other	Capital Client Group, Inc. no RAUM	Other	Feb 16, 2012	Apr 25, 2013 (434 d)
Clinton Smith Mccurry	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Feb 13, 2012	Apr 30, 2024 (4460 d)
Jerry Russell Berg	Oneamerica Securities, Inc. other	Capital Client Group, Inc. no RAUM	Other	Feb 10, 2012	Nov 9, 2015 (1368 d)
Robert Emmett Greeley	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Jan 3, 2012	Apr 25, 2013 (478 d)
Scott Wilson Hoyer	Oneamerica Securities, Inc. other	Capital Client Group, Inc. no RAUM	Other	Dec 22, 2011	Jan 6, 2025 (4764 d)
Jody Lynn O'Dell	Oneamerica Securities, Inc. other	Capital Client Group, Inc. no RAUM	Other	Nov 23, 2011	May 22, 2014 (911 d)
Andrew Thomas Christos	Mesirow Financial Investment Management, Inc. other	Capital Client Group, Inc. no RAUM	Other	Oct 26, 2011	Apr 22, 2014 (909 d)

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308 moves match.