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 Shepherd Kaplan 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
Victoria RubinoJ.P. Morgan Securities LLC wirehouseShepherd Kaplan LLC asset managerOtherMay 28, 2024Jun 15, 2026 (748 d)
John Joseph BoscoLake Street Advisors independent RIAShepherd Kaplan LLC asset managerOtherFeb 26, 2021Aug 31, 2021 (186 d)
Jennifer Marie CharobeeOne Charles Private Wealth independent RIAShepherd Kaplan LLC asset managerOtherSep 1, 2020Nov 9, 2020 (69 d)
David Evan PerlinPearl Investment Partners, LLC independent RIAShepherd Kaplan LLC asset managerOtherDec 31, 2019Mar 12, 2020 (72 d)
Paul Joseph RobertsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseShepherd Kaplan LLC asset managerOtherNov 18, 2019Jul 21, 2021 (611 d)
Joseph A ArmistoGoldman Sachs Wealth Services, L.P. BD affiliatedShepherd Kaplan LLC asset managerOtherJan 3, 2019Nov 17, 2020 (684 d)
John Henry GeringerCedrus independent RIAShepherd Kaplan LLC asset managerOtherDec 12, 2018Jan 1, 2025 (2212 d)
Michael Deforest Howard-JohnsonJ.P. Morgan Private Wealth Advisors LLC mixed wealthShepherd Kaplan LLC asset managerOtherMay 15, 2018Jun 29, 2018 (45 d)
Eric Preston ScruggsAcorn Financial Advisory Services, Inc. otherShepherd Kaplan LLC otherOtherApr 5, 2017Jun 14, 2017 (70 d)
Whitney E SolcherTpb Wealth Advisors, LLC otherShepherd Kaplan LLC otherOtherJun 6, 2013Jul 8, 2013 (32 d)
Albert John OttoOnefiduciary Group, LLC unclassifiedShepherd Kaplan LLC otherOtherAug 9, 2010Nov 2, 2010 (85 d)
Christopher Alan CahillOsaic Fa, Inc. otherShepherd Kaplan LLC otherOtherJun 16, 2009Jun 23, 2009
Shawn Charles SamperiPricewaterhousecoopers Investment Advisers LLC no RAUMShepherd Kaplan LLC otherOtherJun 29, 2007Nov 14, 2013 (2330 d)
Thomas J. BirrittellaPricewaterhousecoopers Investment Advisers LLC no RAUMShepherd Kaplan LLC otherOtherJun 29, 2007Jun 4, 2008 (341 d)
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14 moves match.