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 Bny Mellon Advisors, 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.

AdvisorFromToTypeLeftRegistered
Emilio C CoppinCitigroup Global Markets Inc. BD affiliatedBny Mellon Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 9, 2026Mar 17, 2026
Ross EmrickMeeder Advisory Services, Inc. independent RIABny Mellon Advisors, Inc. independent RIARIA to RIANov 22, 2022Jan 5, 2023 (44 d)
Lauren BoyceVanguard Advisers, Inc. BD affiliatedBny Mellon Advisors, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 2, 2021Nov 10, 2021
George B HarrisMorgan Stanley wirehouseBny Mellon Advisors, Inc. independent RIAWirehouse to independent RIAFeb 11, 2019Feb 27, 2019
David HubbsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseBny Mellon Advisors, Inc. independent RIAWirehouse to independent RIAJul 16, 2018Aug 9, 2018
Frank Anthony GermanaVicus Capital, Inc. independent RIABny Mellon Advisors, Inc. independent RIARIA to RIAMay 4, 2018Oct 8, 2019 (522 d)
Jude CookeMorgan Stanley wirehouseBny Mellon Advisors, Inc. otherOtherDec 19, 2017Jan 3, 2018
Sean David SpellmanSei Investments Management Corp otherBny Mellon Advisors, Inc. otherOtherNov 3, 2015Apr 22, 2016 (171 d)
Daniel Vincent DaleyEnvestnet Pmc otherBny Mellon Advisors, Inc. otherOtherMay 5, 2015Aug 25, 2016 (478 d)
Michael HonerUBS Financial Services Inc. wirehouseBny Mellon Advisors, Inc. otherOtherFeb 18, 2014Mar 19, 2014
Christopher James BarrMsi Financial Services, Inc. otherBny Mellon Advisors, Inc. otherOtherMay 30, 2013Jun 7, 2013
William Gerard PierceNuveen Asset Management, LLC otherBny Mellon Advisors, Inc. otherOtherNov 21, 2011Jan 31, 2012 (71 d)
Jason John HodakMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseBny Mellon Advisors, Inc. otherOtherFeb 25, 2011Mar 10, 2011
Jonathan L SteinerBny Mellon Managed Investments, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherDec 31, 2010Jul 13, 2010
Daniel Kenton PenroseBny Mellon Managed Investments, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherDec 31, 2010Jul 19, 2010
Shawn Thomas WaltzBny Mellon Managed Investments, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherDec 31, 2010Jul 13, 2010
Josh DreserisJanney Montgomery Scott LLC otherBny Mellon Advisors, Inc. otherOtherJul 20, 2010Jul 16, 2010
Brett M RizorStrategic Advisers LLC national BDBny Mellon Advisors, Inc. otherOtherMay 19, 2010Oct 29, 2010 (163 d)
David Michael LittleLockwood Financial Services, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherMay 17, 2010May 17, 2010
Brian Edward KrausLockwood Financial Services, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherMay 17, 2010Jan 15, 2009
Robert Guido BattistaLockwood Financial Services, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherApr 5, 2010Jan 15, 2009
Jaime Lauren RoncoroniNorthern Trust Securities, Inc no RAUMBny Mellon Advisors, Inc. independent RIAOtherDec 31, 2009Dec 17, 2025 (5830 d)
Arik Clayton GarnerCrossmark Global Investments, Inc. otherBny Mellon Advisors, Inc. otherOtherNov 10, 2009Dec 4, 2009
Timothy Michael MacarakTd Ameritrade Investment Management, LLC otherBny Mellon Advisors, Inc. otherOtherOct 26, 2009Oct 22, 2009
Lauren BoyceMorgan Stanley & Co. LLC unclassifiedBny Mellon Advisors, Inc. otherOtherJan 9, 2009Oct 13, 2009 (277 d)
Summer J. CavalierRittenhouse Asset Management, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherNov 21, 2008Jun 12, 2009 (203 d)
Evan Robert RatnowLehman Brothers Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherOct 2, 2008Apr 17, 2009 (197 d)
Donna Marie CunninghamHornor, Townsend & Kent, LLC otherBny Mellon Advisors, Inc. otherOtherMay 8, 2008May 19, 2008
Timothy Yeats ThomasLockwood Financial Services, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherJan 2, 2008Feb 9, 2004
Jae YuCharles Schwab & Co., Inc. national BDBny Mellon Advisors, Inc. otherOtherOct 29, 2007Nov 21, 2007
David Dominic MarsicoRittenhouse Asset Management, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherOct 1, 2007Jan 25, 2008 (116 d)
Jason LawrenceRittenhouse Asset Management, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherJul 5, 2007Jul 19, 2007
Robert Guido BattistaMorgan Stanley Dw Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherFeb 2, 2007Feb 5, 2007
Maninder Kaur GillPershing LLC unclassifiedBny Mellon Advisors, Inc. otherOtherMar 31, 2006Feb 6, 2004
Christopher RuffinoPershing LLC unclassifiedBny Mellon Advisors, Inc. otherOtherMar 31, 2006Jan 31, 2006
James Patrick HayesNorthwestern Mutual Investment Services,LLC otherBny Mellon Advisors, Inc. independent RIAOtherAug 5, 2005Nov 21, 2022 (6317 d)
Seamus Thomas ObrienBrinker Capital Inc otherBny Mellon Advisors, Inc. otherOtherAug 27, 2004Jun 6, 2008 (1379 d)
Brendan OneillRittenhouse Asset Management, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherMar 5, 2004Mar 11, 2004
Richard GarrettLockwood Financial Services, Inc. unclassifiedBny Mellon Advisors, Inc. otherOtherMar 3, 2004Feb 6, 2004
Robert B JorgensenPacific Wealth Management otherBny Mellon Advisors, Inc. otherOtherDec 31, 2002Mar 24, 2003 (83 d)
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40 moves match.