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 Hilltop Securities Asset Management, LLC

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
John Edward SimoneEquitable Advisors, LLC national BDHilltop Securities Asset Management, LLC institutionalOtherAug 13, 2026Aug 3, 2026
Dominic Mark AltoThornburg Investment Management Inc asset managerHilltop Securities Asset Management, LLC institutionalOtherJul 14, 2025May 14, 2026 (304 d)
Trevor Lane HilzTexas Capital Bank Private Wealth Advisors independent RIAHilltop Securities Asset Management, LLC institutionalOtherOct 27, 2023Mar 26, 2025 (516 d)
Lance Tomas FloresMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHilltop Securities Asset Management, LLC institutionalOtherJul 1, 2022Jan 31, 2024 (579 d)
Traci KurtzMomentum Independent Network Inc. BD affiliatedHilltop Securities Asset Management, LLC institutionalOtherFeb 18, 2022Apr 12, 2019
Kimberly Ellen ArthurMorgan Stanley & Co. LLC unclassifiedHilltop Securities Asset Management, LLC otherOtherSep 16, 2008Dec 15, 2008 (90 d)
Blake Barnes MorrisGoldman Sachs Wealth Services, L.P. otherHilltop Securities Asset Management, LLC otherOtherApr 7, 2008Apr 7, 2008
Stephen Garrett Smith1st Global Advisors Inc otherHilltop Securities Asset Management, LLC otherOtherJul 18, 2007Jul 18, 2007
Carol Elaine Cheeks1st Global Advisors Inc otherHilltop Securities Asset Management, LLC institutionalOtherApr 4, 2007May 12, 2025 (6613 d)
Donald Francis FoleyJ. B. Hanauer & Co. unclassifiedHilltop Securities Asset Management, LLC otherOtherSep 30, 2005Mar 16, 2006 (167 d)
Vincent HumphreyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHilltop Securities Asset Management, LLC institutionalOtherJun 4, 2003Aug 19, 2026 (8477 d)
Alexander Felix ArellanoLegg Mason Wood Walker, Incorporated unclassifiedHilltop Securities Asset Management, LLC otherOtherSep 6, 2002Jan 23, 2006 (1235 d)
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12 moves match.