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
James Peter Evans	Northwestern Mutual Investment Services,LLC other	Capital Client Group, Inc. no RAUM	Other	Oct 13, 2011	Apr 25, 2013 (560 d)
Darrell Wayne Pounders	Securian Financial Services, Inc. other	Capital Client Group, Inc. no RAUM	Other	Oct 3, 2011	Jul 21, 2015 (1387 d)
Jeffrey Kenneth Hunkins	Stancorp Investment Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Jul 28, 2011	Apr 25, 2013 (637 d)
Russell Byrom	B Riley Wealth Management other	Capital Client Group, Inc. no RAUM	Other	Jul 8, 2011	Apr 25, 2013 (657 d)
Renee Annette Degner	Morgan Stanley wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 8, 2011	Apr 25, 2013 (687 d)
James Michael Maher	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 13, 2011	Apr 25, 2013 (743 d)
Nora Christina Mccormack	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Feb 28, 2011	Nov 22, 2024 (5016 d)
Steven Joseph Sperry	First Command Financial Planning, Inc. other	Capital Client Group, Inc. no RAUM	Other	Feb 11, 2011	Jan 3, 2017 (2153 d)
Kevin Francis Dolan	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jan 18, 2011	Aug 25, 2023 (4602 d)
Andre Wood Bouvier	Allspring Funds Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Nov 22, 2010	Apr 30, 2013 (890 d)
Eugene Leon Podkaminer	Alan Biller And Associates other	Capital Client Group, Inc. no RAUM	Other	Sep 13, 2010	Jan 21, 2025 (5244 d)
Bruno Vera	Advisors Asset Management, Inc. other	Capital Client Group, Inc. no RAUM	Other	Aug 20, 2010	Oct 1, 2024 (5156 d)
Max James Mcquiston	The Karras Company, Inc. other	Capital Client Group, Inc. no RAUM	Other	Jul 22, 2010	Feb 26, 2014 (1315 d)
Jason Curtis Smith	Nationwide Securities, LLC no RAUM	Capital Client Group, Inc. no RAUM	Other	Jul 21, 2010	Apr 9, 2018 (2819 d)
Casey Evan Clark	On Investment Management Co other	Capital Client Group, Inc. no RAUM	Other	Jul 15, 2010	May 7, 2013 (1027 d)
Sean Charles Minor	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 28, 2010	Sep 6, 2013 (1166 d)
Leah Odonell Ryan	Jasmijn Capital Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 23, 2010	Oct 21, 2021 (4138 d)
Kevin Gregory Olson	Cetera Advisor Networks LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 3, 2010	Jul 3, 2017 (2587 d)
Kyle Robert Weathers	Pnc Wealth Management other	Capital Client Group, Inc. no RAUM	Other	May 10, 2010	May 5, 2015 (1821 d)
Kevin Michael Clemson	Principal Securities, Inc. other	Capital Client Group, Inc. no RAUM	Other	Apr 1, 2010	Jul 24, 2013 (1210 d)
Jameson Ryan Greenstone	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Feb 18, 2010	May 9, 2014 (1541 d)
Bradley Christopher Davis	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Nov 11, 2009	Apr 2, 2019 (3429 d)
Nikolaus Vahid Friedrich	Strategic Advisers LLC national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Nov 2, 2009	Sep 29, 2014 (1792 d)
Maegen Emily Chaudry	Edward Jones national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Oct 27, 2009	Jun 11, 2013 (1323 d)
Jonathan Ament	Wilmington Brokerage Services Company unclassified	Capital Client Group, Inc. no RAUM	Other	Mar 26, 2009	May 7, 2013 (1503 d)
Gary Dee Bryce	Nationwide Investment Advisors, LLC other	Capital Client Group, Inc. no RAUM	Other	Dec 9, 2008	Nov 12, 2013 (1799 d)
Matthew Philip O'Connor	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Nov 11, 2008	Apr 30, 2013 (1631 d)
John Benedict Thomas	Lord, Abbett & Co. LLC other	Capital Client Group, Inc. no RAUM	Other	Nov 6, 2008	May 29, 2013 (1665 d)
Matthew Stephen Cameron	Browndorf Pem, LLC unclassified	Capital Client Group, Inc. no RAUM	Other	Oct 28, 2008	Jun 11, 2013 (1687 d)
Alan Maynard Heaton	Morgan Stanley & Co. LLC unclassified	Capital Client Group, Inc. no RAUM	Other	Aug 7, 2008	Jun 4, 2018 (3588 d)
Lori Lynn Guy	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 25, 2008	Jun 11, 2013 (1812 d)
Stephen Brian May	Lord, Abbett & Co. LLC other	Capital Client Group, Inc. no RAUM	Other	Jun 2, 2008	Nov 8, 2013 (1985 d)
William Douglas Parsley	Equitable Advisors, LLC national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Apr 24, 2008	Oct 26, 2016 (3107 d)
Jon Christian Nicolazzo	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Apr 14, 2008	May 20, 2013 (1862 d)
James Humpherson Mollett	Equitable Advisors, LLC national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Mar 19, 2008	May 3, 2014 (2236 d)
Gregory Paul Miller	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Feb 14, 2008	Jan 8, 2026 (6538 d)
Jay Ungos Parayno	Ameritas Advisory Services other	Capital Client Group, Inc. no RAUM	Other	Nov 16, 2007	Feb 1, 2017 (3365 d)
David Erick Crowdus	Alliancebernstein L.P. other	Capital Client Group, Inc. no RAUM	Other	Aug 21, 2007	May 3, 2013 (2082 d)
Roger Joseph Bianco Jr	Van Kampen Advisors Inc unclassified	Capital Client Group, Inc. no RAUM	Other	Aug 8, 2007	Aug 26, 2013 (2210 d)
James Robert Mitchell	Federated Investment Counseling other	Capital Client Group, Inc. no RAUM	Other	May 30, 2007	Apr 30, 2013 (2162 d)
William Francis Gilmartin	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Apr 26, 2007	Apr 7, 2015 (2903 d)
Jason Michael Snow	Banc Of America Investment Services, Inc. unclassified	Capital Client Group, Inc. no RAUM	Other	Mar 7, 2007	Jun 7, 2013 (2284 d)
Joseph Anthony Mccreesh	Blackrock Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Feb 6, 2007	Jun 15, 2013 (2321 d)
Edward Chapman Brown	Van Kampen Advisors Inc unclassified	Capital Client Group, Inc. no RAUM	Other	Feb 5, 2007	Mar 7, 2014 (2587 d)
Jason Martin Weybrecht	Spero-Smith Investment Advisers, Inc. other	Capital Client Group, Inc. no RAUM	Other	Dec 13, 2006	Apr 25, 2013 (2325 d)
Albert Aguilar	Wells Fargo Investments, LLC unclassified	Capital Client Group, Inc. no RAUM	Other	Dec 13, 2006	Aug 13, 2014 (2800 d)
Bryan Robert Favilla	Equitable Advisors, LLC national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Dec 4, 2006	Apr 14, 2016 (3419 d)
Suzette Marie Rothberg	Van Kampen Advisors Inc unclassified	Capital Client Group, Inc. no RAUM	Other	Aug 9, 2006	Apr 25, 2013 (2451 d)
Emily Rose Liao	Commonwealth Financial Network national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Apr 18, 2006	Aug 16, 2024 (6695 d)
Mark Allen Seaman	Legg Mason Wood Walker, Incorporated unclassified	Capital Client Group, Inc. no RAUM	Other	Dec 9, 2005	Apr 25, 2013 (2694 d)
Robert Sang Ho Chu	Wells Fargo Investments, LLC unclassified	Capital Client Group, Inc. no RAUM	Other	Dec 7, 2005	May 25, 2021 (5648 d)
Muhammad Imran Sheikh	Osaic Fa, Inc. other	Capital Client Group, Inc. no RAUM	Other	Dec 2, 2005	Sep 18, 2018 (4673 d)
Shawn Marie Osullivan	Putnam Investment Management, LLC other	Capital Client Group, Inc. no RAUM	Other	Oct 18, 2005	Aug 28, 2013 (2871 d)
Charles Leonidas Mitsakos	Amundi Asset Management US, Inc. other	Capital Client Group, Inc. no RAUM	Other	Mar 7, 2005	Jan 7, 2014 (3228 d)
Joseph Michael Piccolo	Wells Fargo Advisors wirehouse	Capital Client Group, Inc. no RAUM	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jan 3, 2005	Jul 22, 2013 (3122 d)
Valerie Booker	Charles Schwab & Co., Inc. national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	Nov 23, 2004	Aug 1, 2019 (5364 d)
Matthew Christopher Rush	Citigroup Global Markets Inc. other	Capital Client Group, Inc. no RAUM	Other	Sep 28, 2004	Sep 12, 2013 (3271 d)
David Douglas Kuncho	Cuna Brokerage Services, Inc. other	Capital Client Group, Inc. no RAUM	Other	Aug 16, 2004	Jun 11, 2013 (3221 d)
John Erickson	Ameriprise Financial Services, LLC national BD	Capital Client Group, Inc. no RAUM	Affiliated broker-dealer or bank to a newly registered adviser	May 25, 2004	Jun 12, 2013 (3305 d)
Richard Anthony Sabec	Lord, Abbett & Co. LLC other	Capital Client Group, Inc. no RAUM	Other	Jan 13, 2004	May 22, 2013 (3417 d)

Page 5 of 6Previous Next

308 moves match.