DFX Intelligence
Advisor moves
Arrivals at Rockefeller Capital ManagementWhat a move isA 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.
880 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Taylor Louise Dewey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2024 | Jan 12, 2024 |
| Zachary Todd Gebben | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2024 | Jan 12, 2024 |
| John Thomas Ludington | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2024 | Jan 12, 2024 |
| Justin Matthew Katz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2024 | Jan 12, 2024 |
| Connor William Gillis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2024 | Jan 12, 2024 |
| Tyler Glen Smyth | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2024 | Jan 12, 2024 |
| John Patrick Perry | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 3, 2024 | May 13, 2024 (131 d) |
| Daria Stan | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 3, 2024 | Jan 10, 2024 |
| Donald E Bruemmer | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 19, 2023 | Jan 17, 2024 |
| Madison Rose Lynch | Vanguard Advisers, Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2023 | Jan 9, 2024 |
| Kaitlyn Fanaroff | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2023 | Dec 20, 2023 |
| Jessica Ann Ems | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 27, 2023 | Nov 30, 2023 |
| Robert Lewis Moon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2023 | Nov 3, 2023 |
| Scott Crawford Lemen | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2023 | Nov 10, 2023 |
| Haley Brehm | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2023 | Oct 30, 2023 |
| Megan Fidler Payton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 2, 2023 | Dec 4, 2023 (32 d) |
| Sandra L Stiger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 20, 2023 |
| Travis Matthew Propst | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 16, 2023 |
| James Allen Mckenzie | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 20, 2023 |
| Ryan Patrick Brady | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 13, 2023 |
| David Michael Harvan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 20, 2023 |
| Jason T Douglas | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 13, 2023 |
| Alexander A Villacampa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 24, 2023 | Oct 20, 2023 |
| Katherine Berry Battey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 23, 2023 | Nov 14, 2023 |
| Mallory Findley | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2023 | Oct 25, 2023 |
| Matthew William Willis | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2023 | Oct 6, 2023 |
| Claudia Ivett Ramirez | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 13, 2023 | Oct 6, 2023 |
| Frank Willis | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 13, 2023 | Oct 6, 2023 |
| Neil Martin | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 13, 2023 | Oct 6, 2023 |
| Sheila Spainhour Shaffer | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2023 | Nov 13, 2023 (35 d) |
| Daniel Wade Spainhour | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2023 | Oct 6, 2023 |
| Eric Park Walker | Janney Montgomery Scott LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2023 | Oct 6, 2023 |
| Debra Jones-Mcconnell | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 4, 2023 | Oct 2, 2023 |
| Bethany Paige Tice | Mercer Global Advisors Inc. independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Oct 3, 2023 | Jan 31, 2024 (120 d) |
| Cole Jameson Wells | Blackrock Investment Management, LLC other | Rockefeller Capital Management BD affiliated | Other | Sep 28, 2023 | Jan 24, 2024 (118 d) |
| Donis Noe Smith | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2023 | Sep 15, 2023 |
| Michael Charles Pearson | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2023 | Sep 15, 2023 |
| William P. Patterson | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2023 | Sep 15, 2023 |
| Riley Alexander Stephenson | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2023 | Sep 15, 2023 |
| Jillian Marie Propst | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 26, 2023 | Sep 15, 2023 |
| Surajit Kumar Ghosh | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 13, 2023 | Jun 19, 2024 (280 d) |
| Dylan Gregory Isaacs | Sanctuary Advisors, LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Sep 11, 2023 |
| Kayla Michelle Foster | Charles Schwab & Co., Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Dec 4, 2023 (90 d) |
| Angela Kaya Mwanza | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2023 | Aug 11, 2023 |
| Jordan James Powell | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2023 | Aug 11, 2023 |
| Wenyi Wang | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2023 | Aug 11, 2023 |
| Przemyslaw Eugeniusz Filipek | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 22, 2023 | Aug 11, 2023 |
| Tracy R. Baker | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2023 | Mar 19, 2024 (237 d) |
| Nicole Kianka | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 25, 2023 | Jul 28, 2023 |
| Jennifer Dawn Stauffer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2023 | Aug 10, 2023 (35 d) |
| Elizabeth Anne Palomeque | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Jun 16, 2023 |
| Kristin Kaye Nicholson | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Jun 16, 2023 |
| Daniel Rosone | Svb Wealth BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Jul 6, 2023 |
| Michael Delli Paoli | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 29, 2023 | Jul 4, 2023 |
| Mary Watson Hayes | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Jun 16, 2023 |
| Jonathan Michael Mazzeo | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Jun 16, 2023 |
| Leah Marie D'Agostino | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Jun 16, 2023 |
| Lisa Marie Kitchin | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Jun 16, 2023 |
| Glenn E Mealey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 27, 2023 | Jun 28, 2023 |
| Sierra Isabel Zora Macken | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2023 | Jun 16, 2023 |