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
Traci Lee Mitchell	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 10, 2004	Jun 1, 2004
Thomas Edgar Casey	Lehman Brothers Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Jun 9, 2004	Jun 1, 2004
Brian Jason Murphy	Wells Fargo Investments, LLC unclassified	Deutsche Bank Securities Inc. other	Other	Jun 8, 2004	May 27, 2004
Marci Porter Lucier	Berthel Fisher & Company Financial Services, Inc. other	Deutsche Bank Securities Inc. other	Other	Jun 1, 2004	Jul 15, 2004 (44 d)
Lynn Vincent Elliott	Alliancebernstein L.P. other	Deutsche Bank Securities Inc. other	Other	May 19, 2004	Jun 4, 2004
Rhonda Joy Sihpol	Citigroup Global Markets Inc. other	Deutsche Bank Securities Inc. other	Other	May 17, 2004	May 6, 2004
Matthew Joseph Portnoy	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	May 10, 2004	Apr 22, 2004
Christian Morgan Bagshaw	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 27, 2004	Apr 30, 2004
David Whitman Fleming	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Oct 28, 2003	May 21, 2007 (1301 d)
Jonathan Defreytas	Ferris, Baker Watts, LLC unclassified	Deutsche Bank Securities Inc. other	Other	Oct 9, 2003	Oct 1, 2003
Scott Matthew Grenert	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Oct 2, 2003	Jun 24, 2009 (2092 d)
Melissa Weakly Hess	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jul 28, 2003	Jul 11, 2003
Portia Kathrine Culley	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Jul 23, 2003	Jul 11, 2003
James Scott Chandler	Banc Of America Securities LLC unclassified	Deutsche Bank Securities Inc. other	Other	Jun 27, 2003	Jan 13, 2001
Matthew Francis Barrett	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	May 28, 2003	Jun 3, 2003
Thomas Francis Jackson	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	May 8, 2003	May 28, 2003
Gerald Raul Snyder	Strategic Advisers LLC national BD	Deutsche Bank Securities Inc. other	Other	Mar 10, 2003	Sep 15, 2006 (1285 d)
Joshua Shute	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Nov 19, 2002	Nov 22, 2002
Barbara Corn Woodcock	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 11, 2002	Apr 19, 2004 (586 d)
John Paul Shuhda	Robertson Stephens, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Aug 27, 2002	Jul 25, 2002
Joseph Michael Haberman	Robertson Stephens, Inc. unclassified	Deutsche Bank Securities Inc. other	Other	Aug 19, 2002	Aug 16, 2002
Christopher Scott O'Grady	Banc Of America Securities LLC unclassified	Deutsche Bank Securities Inc. other	Other	Jul 26, 2002	Sep 5, 2002 (41 d)

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262 moves match.