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 Herbert J. Sims Capital Management, 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
Steven Charles SapirsteinStoever Glass Wealth Management, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAFeb 7, 2025Feb 11, 2025
Gregory Edward BarrStoever Glass Wealth Management, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAJan 13, 2025Jan 16, 2025
Philip A PikeStoever Glass Wealth Management, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAJan 10, 2025Jan 17, 2025
Joseph Michael CellittiArgentis Advisors, Inc. unclassifiedHerbert J. Sims Capital Management, Inc. independent RIAOtherDec 5, 2024Feb 3, 2025 (60 d)
Steven Mark GuillotelEquitable Advisors, LLC national BDHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 31, 2024Aug 5, 2024
Alejandro Michael ViteriStoever Glass Wealth Management, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAJun 3, 2024Jun 28, 2024
Karen DegroUBS Financial Services Inc. wirehouseHerbert J. Sims Capital Management, Inc. independent RIAWirehouse to independent RIAOct 3, 2023Oct 17, 2023
Timothy Elliott IltzDavidson Investment Advisors, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAMar 7, 2023Oct 23, 2024 (596 d)
Michael Braden GolembieskyAssociated Investment Services, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIADec 16, 2022Feb 2, 2023 (48 d)
Sean Mcgordan LalljeeWells Fargo Advisors wirehouseHerbert J. Sims Capital Management, Inc. independent RIAWirehouse to independent RIANov 4, 2022Nov 2, 2022
Denis Rafael TothNorthern Trust Investments, Incorporated asset managerHerbert J. Sims Capital Management, Inc. independent RIAOtherJun 2, 2022Jun 2, 2022
Benjamin John ZimmerNorthwestern Mutual Investment Services,LLC no RAUMHerbert J. Sims Capital Management, Inc. independent RIAOtherApr 4, 2022Apr 4, 2022
Dana Lynn GreenJanney Montgomery Scott LLC BD affiliatedHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 1, 2021Aug 20, 2021 (50 d)
Frank Oscar CurcioOppenheimer & Co. Inc. BD affiliatedHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 24, 2020Jul 8, 2021 (196 d)
Michael Reed TorreOppenheimer & Co. Inc. BD affiliatedHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 24, 2020Jul 8, 2021 (196 d)
Jose Ivan Acosta JordanNpa Asset Management, LLC BD affiliatedHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 1, 2020Jun 3, 2020
Roberto Javier Santos CarroOriental Financial Services LLC independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAFeb 25, 2020Feb 18, 2020
Rebecca Louise BeckettOppenheimer & Co. Inc. BD affiliatedHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 24, 2020Feb 21, 2020
Timothy Patrick GarrettsonOppenheimer & Co. Inc. BD affiliatedHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 24, 2020Jul 20, 2021 (543 d)
Gayl Ann MileszkoBraintree Capital Partners, LLC unclassifiedHerbert J. Sims Capital Management, Inc. independent RIAOtherNov 20, 2019Aug 9, 2021 (628 d)
Michael Justin CorbettAssociated Investment Services, Inc. independent RIAHerbert J. Sims Capital Management, Inc. independent RIARIA to RIAMar 3, 2019Feb 25, 2019
Raul Juan Escudero VilletaSantander Securities otherHerbert J. Sims Capital Management, Inc. independent RIAOtherFeb 12, 2018Feb 27, 2018
Louis Armand Rodriguez NaderSantander Securities otherHerbert J. Sims Capital Management, Inc. independent RIAOtherFeb 12, 2018Feb 5, 2018
Bryan Wilkinson LesterOxbow Advisors, LLC otherHerbert J. Sims Capital Management, Inc. independent RIAOtherJul 5, 2017Aug 23, 2017 (49 d)
Bernard James BraudisGreenwich Investment Management, Inc. otherHerbert J. Sims Capital Management, Inc. independent RIAOtherApr 28, 2017Apr 21, 2017
Roberto Feria CesteroSantander Securities otherHerbert J. Sims Capital Management, Inc. independent RIAOtherOct 14, 2016Oct 14, 2016
Carlos Ruben AlvaradoSantander Securities otherHerbert J. Sims Capital Management, Inc. independent RIAOtherFeb 17, 2016Apr 5, 2016 (48 d)
Luis Currais LopezSantander Securities otherHerbert J. Sims Capital Management, Inc. independent RIAOtherFeb 17, 2016Sep 16, 2016 (212 d)
Meyer CheikinWestport Resources Management Inc otherHerbert J. Sims Capital Management, Inc. independent RIAOtherJan 6, 2016Jan 21, 2016
Harold Jay LauberRBC Capital Markets, LLC national BDHerbert J. Sims Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 5, 2015Jul 9, 2015
Jack ArduinFifth Third Securities, Inc. otherHerbert J. Sims Capital Management, Inc. independent RIAOtherMar 6, 2015May 8, 2015 (63 d)
Roberto W RoffoAdvisors Asset Management, Inc. otherHerbert J. Sims Capital Management, Inc. independent RIAOtherJul 30, 2014Jul 5, 2016 (706 d)
Timothy Bain HoweJanney Montgomery Scott LLC otherHerbert J. Sims Capital Management, Inc. independent RIAOtherMar 11, 2014Jun 30, 2015 (476 d)
John M MoranTd Ameritrade Investment Management, LLC otherHerbert J. Sims Capital Management, Inc. independent RIAOtherJan 22, 2013Oct 16, 2015 (997 d)
Corey FrancoLadenburg Thalmann Asset Management Inc otherHerbert J. Sims Capital Management, Inc. independent RIAOtherFeb 2, 2012Feb 6, 2015 (1100 d)
Peter Julian DeeAlliancebernstein L.P. otherHerbert J. Sims Capital Management, Inc. independent RIAOtherDec 4, 2007Jan 9, 2008 (36 d)
Daniel Joseph MullaneMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseHerbert J. Sims Capital Management, Inc. independent RIAWirehouse to independent RIAAug 29, 2006Jan 16, 2015 (3062 d)
Paul Philip SaittaBny Investment Center Inc. unclassifiedHerbert J. Sims Capital Management, Inc. independent RIAOtherAug 2, 2006Apr 13, 2007 (254 d)
Jason Howard DiamondAdvest, Inc. unclassifiedHerbert J. Sims Capital Management, Inc. independent RIAOtherMay 31, 2006Oct 23, 2014 (3067 d)
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39 moves match.