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 Guggenheim Investments

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
Jacob William LiebermanProshare Advisors LLC asset managerGuggenheim Investments asset managerOtherAug 10, 2026Aug 17, 2026
Zachary KozlowskiRock Harbor Capital LLC state registeredGuggenheim Investments asset managerOtherJul 27, 2026Jul 27, 2026
Charles WaltersWells Fargo Advisors wirehouseGuggenheim Investments asset managerOtherJul 20, 2026Sep 16, 2026 (58 d)
Johnson Asase JrNew York Life Investment Management LLC asset managerGuggenheim Investments asset managerOtherJul 28, 2025Apr 8, 2026 (254 d)
Kevin TrucklyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGuggenheim Investments asset managerOtherJul 15, 2025Aug 12, 2025
Richard G JaegerAdvisors Asset Management, Inc. otherGuggenheim Investments asset managerOtherSep 9, 2024Nov 7, 2024 (59 d)
Houston Stevana JarvisJ.P. Morgan Securities LLC wirehouseGuggenheim Investments asset managerOtherAug 17, 2024Apr 17, 2025 (243 d)
Mark Richard SkeltonUBS Financial Services Inc. wirehouseGuggenheim Investments asset managerOtherAug 16, 2022Feb 16, 2024 (549 d)
Usman Rahman KhanMesirow Financial Investment Management, Inc. otherGuggenheim Investments asset managerOtherJul 12, 2021May 17, 2022 (309 d)
Kevin Michael BurkeConifer Bay Capital LLC state registeredGuggenheim Investments asset managerOtherMar 12, 2021Apr 8, 2021
Annmarie WoodsNew York Life Investment Management LLC asset managerGuggenheim Investments asset managerOtherAug 11, 2020Sep 4, 2020
Peter RatcliffePnc Capital Advisors LLC otherGuggenheim Investments asset managerOtherMay 24, 2019May 28, 2019
Michael HoareThe Mather Group, LLC independent RIAGuggenheim Investments asset managerOtherFeb 22, 2019Apr 16, 2019 (53 d)
Tyler N TumpaneMorgan Stanley wirehouseGuggenheim Investments asset managerOtherFeb 11, 2019Feb 14, 2019
James Banigan CaseyNuveen Asset Management, LLC otherGuggenheim Investments asset managerOtherAug 13, 2018Aug 15, 2018
Clinton Paul BarberEaton Vance Management mixed wealthGuggenheim Investments asset managerOtherAug 1, 2018Aug 16, 2018
Austin SmithJ.P. Morgan Securities LLC wirehouseGuggenheim Investments asset managerOtherMay 15, 2018May 16, 2018
Patrick Thomas WrightMorgan Stanley wirehouseGuggenheim Investments otherOtherMar 14, 2018Mar 16, 2018
Brian Desmond QuinnBny Mellon Securities Corporation otherGuggenheim Investments otherOtherSep 22, 2017Sep 14, 2017
Thomas P HigginsNuveen Asset Management, LLC otherGuggenheim Investments otherOtherJun 19, 2017Jun 23, 2017
James Patrick PhillipsNorthcoast Asset Management LLC otherGuggenheim Investments otherOtherJun 27, 2016Jul 15, 2016
David M HartMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGuggenheim Investments otherOtherApr 6, 2016Apr 19, 2016
Kyle BrownEdward Jones national BDGuggenheim Investments otherOtherJan 25, 2016Feb 8, 2016
Matthew Joseph KomerCri Securities, LLC otherGuggenheim Investments otherOtherOct 16, 2015Jan 11, 2016 (87 d)
Geri HerroMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGuggenheim Investments otherOtherAug 25, 2015Sep 8, 2015
Darin Bond RothNorthwestern Mutual Investment Services,LLC otherGuggenheim Investments otherOtherJul 22, 2015Jul 22, 2015
Matthew PetrizzoAdvisors Asset Management, Inc. otherGuggenheim Investments otherOtherOct 13, 2014Oct 10, 2014
Michael Vincent MccormickAdvisors Asset Management, Inc. otherGuggenheim Investments otherOtherOct 10, 2014Oct 13, 2014
Lauren Elizabeth MetajInvesco Advisers, Inc. otherGuggenheim Investments otherOtherNov 8, 2013Feb 25, 2014 (109 d)
Jonathan David PanoshVoya Financial Advisors, Inc. otherGuggenheim Investments otherOtherAug 16, 2013Feb 25, 2014 (193 d)
Jeffrey T. TeareUBS Financial Services Inc. wirehouseGuggenheim Investments otherOtherJun 12, 2013Feb 25, 2014 (258 d)
John McguckinMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGuggenheim Investments otherOtherApr 26, 2013Jul 11, 2014 (441 d)
Stephen James CoulterMorgan Stanley wirehouseGuggenheim Investments otherOtherJun 28, 2012Feb 25, 2014 (607 d)
Dru Francis GirardWaddell & Reed otherGuggenheim Investments otherOtherApr 17, 2012Feb 25, 2014 (679 d)
Joseph Gerard McquaidAmericafirst Capital Management, LLC otherGuggenheim Investments otherOtherJan 27, 2012Mar 4, 2014 (767 d)
James Robert RensmanDelaware Capital Management Advisers, Inc no RAUMGuggenheim Investments otherOtherJun 1, 2011Jun 8, 2011
Michael Christopher DipieroSignator Investors, Inc. otherGuggenheim Investments otherOtherJun 1, 2011Jun 8, 2011
John Frederic ChisholmPgim Investments LLC otherGuggenheim Investments otherOtherApr 28, 2011Mar 4, 2014 (1041 d)
Michael P. CoffeeMorgan Stanley wirehouseGuggenheim Investments otherOtherMar 10, 2011Mar 28, 2011
Eric John StuderColumbia Management Investment Advisers, LLC otherGuggenheim Investments otherOtherFeb 17, 2011Mar 11, 2011
Robert Emmet CoyneNew York Life Investment Management LLC otherGuggenheim Investments otherOtherNov 12, 2010Mar 4, 2014 (1208 d)
Peter Allan SykesRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Carl Richard ResnickRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Peter Carson SloanRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Daniel Christopher HornbakerRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
David Scott AhernRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Christopher Milbourne SegoRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Todd Paul MuentzerRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Kristine Marie WarnerRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Shawn Allen WearsRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Garrett H BrookesRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Paul Thomas EvonRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Christopher Zane CosantinoRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Kevin Dale GautRydex Advisory Services, LLC unclassifiedGuggenheim Investments otherOtherOct 28, 2010Oct 26, 2010
Marc Claude ZeitounSecurity Global Investors unclassifiedGuggenheim Investments otherOtherOct 12, 2010Apr 14, 2009
Russell Thomas GreigSecurity Global Investors unclassifiedGuggenheim Investments otherOtherOct 12, 2010Sep 20, 2010
Brian K CarlisleVan Kampen Advisors Inc unclassifiedGuggenheim Investments otherOtherJun 4, 2010Mar 4, 2014 (1369 d)
Lee Tracy PersoneniMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGuggenheim Investments otherOtherApr 20, 2010Mar 4, 2014 (1414 d)
Christopher Vito ParisiNew York Life Investment Management LLC otherGuggenheim Investments otherOtherJan 6, 2010Mar 4, 2014 (1518 d)
Jonathan Edward BoringMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseGuggenheim Investments otherOtherNov 9, 2009Mar 4, 2014 (1576 d)
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63 moves match.