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 |
|---|---|---|---|---|---|
| Phillip T Dobbs | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 21, 2023 | Feb 17, 2023 |
| Timothy Strates Magid | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 21, 2023 | Feb 17, 2023 |
| Charles Evan Moffitt | Charles Schwab & Co., Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2023 | Feb 17, 2023 |
| Matthew E Martinez | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 16, 2023 | Feb 8, 2023 |
| Alexander Charles Ladage | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 24, 2023 | Jan 18, 2023 |
| David Landon Smith | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 24, 2023 | Jan 13, 2023 |
| Jorge Andres Garcia | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 24, 2023 | Jan 13, 2023 |
| Monica Yvette Vallejo | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 24, 2023 | Jan 13, 2023 |
| Clement Sprout | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 21, 2023 | Feb 22, 2023 (32 d) |
| Anne Blohm Golden | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 3, 2023 | May 5, 2023 (122 d) |
| Richard Angus West | Spearhead Capital Advisors, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2022 | Aug 17, 2023 (229 d) |
| Mark Stephen Pelersi | Shade Tree Advisors LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Dec 15, 2022 | Dec 9, 2022 |
| Emily Faith Whooley | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2022 | Jan 6, 2023 (35 d) |
| Connor Ian Wiggins | Ameriprise Financial Services, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2022 | Nov 30, 2022 |
| Jackson Timothy Mahorney | 9258 Wealth Management, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Nov 16, 2022 | Dec 9, 2022 |
| Barry M Johnson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Kyle Benjamin Maxwell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Kevin Ray Hermis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Adam J Loveless | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Shawna D Alexander | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Jordan Alexander | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 28, 2022 |
| Sean Foust | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Stacie Leigh Harris Boyle | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2022 | Nov 4, 2022 |
| Lawrence Larose | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 3, 2022 | Nov 7, 2022 |
| Mike Francis Smith | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2022 | Oct 28, 2022 |
| Thomas H Risher | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 25, 2022 | Oct 14, 2022 |
| Yajaira Serrano | Wells Fargo Advisors wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 20, 2022 | Oct 28, 2022 |
| Tae I Kim | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 19, 2022 | Oct 18, 2022 |
| Zachary James Stanley | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 19, 2022 | Oct 7, 2022 |
| John Vianney Mooney | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 18, 2022 | Oct 7, 2022 |
| Tracy Belinda Rinaldi | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2022 | Oct 13, 2022 |
| Eric Heaton | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2022 | Sep 8, 2022 |
| Al Palkovich | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2022 | Aug 8, 2022 |
| Elaine Marie Sillery | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2022 | Sep 8, 2022 |
| Michael Edwin Shelley | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 14, 2022 | Sep 9, 2022 |
| Paige Hatcher | Morgan Stanley wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 14, 2022 | Sep 9, 2022 |
| Gina Valle | Raymond James & Associates, Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2022 | Sep 13, 2022 |
| Ha Nguyen | Moser Wealth Advisors independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Sep 7, 2022 | May 30, 2023 (265 d) |
| Jack Edward Rimbach | Bakeravenue independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2022 | Mar 20, 2025 (926 d) |
| Richard Owen Hassan | Raymond James & Associates, Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 31, 2022 | Aug 18, 2022 |
| Paul Marques Fernandes | Goldman Sachs Wealth Services, L.P. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2022 | Aug 8, 2022 |
| Matthew James Holbrook | Raymond James & Associates, Inc. national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2022 | Aug 18, 2022 |
| John George Uriostegui | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 16, 2022 | Aug 16, 2022 |
| Rod Yoshio Nakamoto | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 16, 2022 | Aug 15, 2022 |
| Regina Rochelle Monroe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 16, 2022 | Aug 15, 2022 |
| David Joseph Sassen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 16, 2022 | Aug 15, 2022 |
| Latisha Dawn Hagler Bickel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 15, 2022 | Aug 18, 2023 (368 d) |
| Lydia Capcarova Lescht | J.P. Morgan Securities LLC wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 4, 2022 | Aug 10, 2022 |
| Elizabeth Jean Yermes | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2022 | Jul 14, 2022 |
| Jack Browne | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2022 | Jul 14, 2022 |
| John Winthrop Claghorn | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2022 | Jul 14, 2022 |
| John Winthrop Claghorn | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2022 | Jul 14, 2022 |
| William Mckay Jump Claghorn | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2022 | Jul 14, 2022 |
| Neil John Kvasnak | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 12, 2022 | Jul 8, 2022 |
| Joshua G Parker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 12, 2022 | Jul 8, 2022 |
| Christopher Lee Fineburg | Spearhead Capital Advisors, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 30, 2022 | Jun 2, 2022 |
| Jarrett Todd Bostwick | Spearhead Capital Advisors, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 30, 2022 | Jun 1, 2022 |
| Christopher Adam Shepherd | Spearhead Capital Advisors, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 30, 2022 | Aug 23, 2022 (54 d) |
| Todd Matthew Walters | Spearhead Capital Advisors, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 30, 2022 | Jun 1, 2022 |
| Brandon Jason Avergon | Spearhead Capital Advisors, LLC independent RIA | Rockefeller Capital Management BD affiliated | RIA to affiliated broker-dealer or bank | Jun 30, 2022 | Jun 13, 2022 |