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 New England Securities Corporation

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.

AdvisorFromToTypeLeftRegistered
Aaron R MccormickMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherFeb 11, 2009May 28, 2009 (106 d)
Tyler J IllerBanc Of America Investment Services, Inc. unclassifiedNew England Securities Corporation otherOtherFeb 9, 2009May 14, 2009 (94 d)
Richard Alexander LeuCharles Schwab & Co., Inc. national BDNew England Securities Corporation otherOtherFeb 5, 2009Apr 7, 2009 (61 d)
Steven Thomas SummaWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherFeb 4, 2009Feb 4, 2009
Nicholas R DraganMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherFeb 4, 2009Feb 23, 2009
Paul Sun-Wook LimAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherJan 28, 2009Nov 4, 2009 (280 d)
Ehab Aly SelimWells Fargo Advisors wirehouseNew England Securities Corporation otherOtherJan 27, 2009Mar 25, 2010 (422 d)
Jocelyn Diana WrightLPL Financial LLC otherNew England Securities Corporation otherOtherJan 16, 2009Mar 2, 2009 (45 d)
Dominic B SchioppoNorthwestern Mutual Investment Services,LLC otherNew England Securities Corporation otherOtherJan 16, 2009Feb 4, 2009
Kathryn Grantz CatalanaScott & Stringfellow, LLC otherNew England Securities Corporation otherOtherJan 15, 2009Feb 19, 2009 (35 d)
Luis ChavesVoya Financial Advisors, Inc. otherNew England Securities Corporation otherOtherDec 31, 2008Feb 9, 2009 (40 d)
Philip E LavelleNatcity Investments, Inc. unclassifiedNew England Securities Corporation otherOtherDec 22, 2008Jan 5, 2009
Rufus J BaldwinMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherDec 22, 2008Mar 17, 2009 (85 d)
Cory Reed WaltonVoya Financial Advisors, Inc. otherNew England Securities Corporation otherOtherDec 16, 2008Feb 9, 2009 (55 d)
Christina Jenny ManginoCentaurus Financial, Inc. otherNew England Securities Corporation otherOtherDec 2, 2008Dec 15, 2008
Stephen William MarcouEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherDec 2, 2008Feb 27, 2009 (87 d)
Thomas Neal O'ConnorSilvercrest Asset Management Group LLC unclassifiedNew England Securities Corporation otherOtherNov 24, 2008May 8, 2009 (165 d)
Troy V ZerveskesNorthwestern Mutual Investment Services,LLC otherNew England Securities Corporation otherOtherNov 19, 2008Nov 24, 2008
Matthew J. PimeEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherNov 18, 2008Nov 19, 2008
Gary W LavalleeEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherNov 12, 2008Nov 17, 2008
Constantine J PihakisEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherOct 15, 2008Dec 4, 2008 (50 d)
John Rainey MorrisEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherOct 2, 2008Oct 10, 2008
Jonathan Robert SchonfeldAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherSep 29, 2008Dec 19, 2008 (81 d)
Eric Richard JohnsonEdward Jones national BDNew England Securities Corporation otherOtherSep 5, 2008Nov 3, 2009 (424 d)
Lindsay MorgansteinLPL Financial LLC otherNew England Securities Corporation otherOtherAug 12, 2008Mar 23, 2009 (223 d)
David A ShawUBS Financial Services Inc. wirehouseNew England Securities Corporation otherOtherAug 8, 2008Aug 20, 2008
David Parker HughesEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherAug 1, 2008Jul 30, 2008
Jimmy LeeMML Investors Services, LLC otherNew England Securities Corporation otherOtherJul 3, 2008Jun 23, 2008
Marty Michael MartinezMML Investors Services, LLC otherNew England Securities Corporation otherOtherJul 3, 2008Jul 2, 2008
Beth Vivian WalkerMML Investors Services, LLC otherNew England Securities Corporation otherOtherJul 3, 2008Jun 20, 2008
Cheryl Ann ConstantinoMML Investors Services, LLC otherNew England Securities Corporation otherOtherJul 3, 2008Jun 17, 2008
Shanna Jean KehoeMML Investors Services, LLC otherNew England Securities Corporation otherOtherJul 3, 2008Jun 17, 2008
Jason William GamettMML Investors Services, LLC otherNew England Securities Corporation otherOtherJul 3, 2008Aug 10, 2009 (403 d)
Stuart Craig RhueEdward Jones national BDNew England Securities Corporation otherOtherJul 3, 2008Sep 15, 2008 (74 d)
Edward E BlackaOsaic Fa, Inc. otherNew England Securities Corporation otherOtherJun 13, 2008Sep 2, 2008 (81 d)
Hector Noe HinojosaBanc Of America Investment Services, Inc. unclassifiedNew England Securities Corporation otherOtherJun 6, 2008Jun 20, 2008
Ryan Charles HamiltonAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherMay 14, 2008Jun 26, 2008 (43 d)
Daniel FuentesUsaa Investment Services Company otherNew England Securities Corporation otherOtherApr 30, 2008Nov 6, 2008 (190 d)
Jerry W LynnSignator Financial Services, Inc. otherNew England Securities Corporation otherOtherApr 29, 2008Jul 23, 2008 (85 d)
Linda Susan MckenneyWaddell & Reed otherNew England Securities Corporation otherOtherApr 29, 2008Jul 30, 2008 (92 d)
Catherine Sanchez GentyEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherMar 28, 2008Oct 10, 2008 (196 d)
Michael Shane WootenWaddell & Reed otherNew England Securities Corporation otherOtherMar 20, 2008Apr 8, 2008
Ben HeiselmoyerAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherMar 7, 2008Mar 5, 2009 (363 d)
Rajesh Khullar1717 Capital Management Company unclassifiedNew England Securities Corporation otherOtherFeb 25, 2008Jun 22, 2009 (483 d)
David Dinchung LoGold Coast Securities, Inc. otherNew England Securities Corporation otherOtherFeb 22, 2008Feb 29, 2008
Gregory Scott StacyMML Investors Services, LLC otherNew England Securities Corporation otherOtherFeb 4, 2008Feb 5, 2008
Robert Stowers MorrowOsaic Fs, Inc. otherNew England Securities Corporation otherOtherFeb 4, 2008Feb 20, 2008
Christopher John KinskyMML Investors Services, LLC otherNew England Securities Corporation otherOtherJan 16, 2008Feb 5, 2008
Karen Elizabeth ElliotVoya Financial Advisors, Inc. otherNew England Securities Corporation otherOtherJan 3, 2008Feb 20, 2008 (48 d)
Leslie Anne HerrAnderson Herr Financial Services, LLC unclassifiedNew England Securities Corporation otherOtherDec 18, 2007Mar 16, 2012 (1550 d)
Bruce David WardPark Avenue Securities LLC otherNew England Securities Corporation otherOtherNov 5, 2007Nov 16, 2007
Michael Eugene GeitnerWaddell & Reed otherNew England Securities Corporation otherOtherNov 2, 2007Nov 12, 2007
Steven Scott MeierA. G. Edwards & Sons, Inc. unclassifiedNew England Securities Corporation otherOtherSep 19, 2007Sep 27, 2007
Thomas Guido AmbrosiEquitable Advisors, LLC national BDNew England Securities Corporation otherOtherSep 14, 2007Sep 13, 2007
Mark R LyonsMML Investors Services, LLC otherNew England Securities Corporation otherOtherSep 10, 2007Oct 12, 2007 (32 d)
Lamont A. BrownNorthwestern Mutual Investment Services,LLC otherNew England Securities Corporation otherOtherSep 7, 2007Oct 31, 2007 (54 d)
James Michael WarrenMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNew England Securities Corporation otherOtherSep 4, 2007Oct 26, 2007 (52 d)
William Donaldson RootT. Rowe Price Advisory Services, Inc. no RAUMNew England Securities Corporation otherOtherAug 30, 2007Oct 5, 2007 (36 d)
Cody James LewisAmeriprise Financial Services, LLC national BDNew England Securities Corporation otherOtherAug 29, 2007Sep 11, 2007
Richard Wade HerbertMML Investors Services, LLC otherNew England Securities Corporation otherOtherAug 20, 2007Apr 23, 2008 (247 d)
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464 moves match.