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 Capital One Advisors, 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
Zachary William RobinsonWells Fargo Advisors wirehouseCapital One Advisors, LLC otherOtherSep 13, 2017Sep 14, 2017
Ghazi NweiranMML Investors Services, LLC otherCapital One Advisors, LLC otherOtherAug 7, 2017Aug 8, 2017
Jun Michael TangUsaa Financial Planning Services no RAUMCapital One Advisors, LLC otherOtherJul 20, 2017Jun 29, 2017
Bill Nick PolizosMorgan Stanley wirehouseCapital One Advisors, LLC otherOtherJun 30, 2017Aug 3, 2017 (34 d)
Melissa Leah Weeks-BillegFirst Command Advisory Services otherCapital One Advisors, LLC otherOtherJun 19, 2017Jun 19, 2017
Meeshan Antonio ReidMML Investors Services, LLC otherCapital One Advisors, LLC otherOtherJun 13, 2017Jun 8, 2017
John Christian ScalaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC otherOtherJun 12, 2017Jun 13, 2017
Kimberly Kay MillerMomentum Independent Network Inc. otherCapital One Advisors, LLC otherOtherJun 7, 2017Jun 9, 2017
Brandon C TruongPnc Wealth Management otherCapital One Advisors, LLC otherOtherMay 5, 2017May 9, 2017
Richard GronskePnc Wealth Management otherCapital One Advisors, LLC otherOtherMay 3, 2017May 1, 2017
Jacob RawlingsWells Fargo Advisors wirehouseCapital One Advisors, LLC otherOtherMay 3, 2017May 5, 2017
Jason Z. GopenB. Riley Wealth Advisors, Inc. otherCapital One Advisors, LLC otherOtherMay 3, 2017May 10, 2017
Peter FinerPnc Wealth Management otherCapital One Advisors, LLC otherOtherMay 2, 2017May 10, 2017
James Robert QuigleyE*Trade Capital Management, LLC otherCapital One Advisors, LLC otherOtherApr 17, 2017Sep 13, 2017 (149 d)
Catherine Alexandra VigenRaymond James Financial Services Advisors, Inc otherCapital One Advisors, LLC otherOtherApr 7, 2017May 18, 2017 (41 d)
Sammy C. ChangHsbc Securities (USA) Inc. otherCapital One Advisors, LLC otherOtherFeb 3, 2017Jan 17, 2017
Shermicker Sheree GallowayLPL Financial LLC otherCapital One Advisors, LLC otherOtherJan 27, 2017Apr 4, 2017 (67 d)
Charles WurdackPnc Wealth Management otherCapital One Advisors, LLC otherOtherJan 6, 2017Feb 14, 2017 (39 d)
Kemon Decorey NealMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC otherOtherJan 6, 2017Dec 20, 2016
Joseph Michael ScuttsTd Ameritrade Investment Management, LLC otherCapital One Advisors, LLC otherOtherJan 4, 2017Feb 15, 2017 (42 d)
Jonathan Hunter KingEdward Jones national BDCapital One Advisors, LLC otherOtherJan 4, 2017Jun 15, 2017 (162 d)
Kristin Victoria PersadMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC otherOtherDec 14, 2016Jan 31, 2017 (48 d)
Thomas GaligerEdward Jones national BDCapital One Advisors, LLC otherOtherNov 10, 2016Jan 27, 2017 (78 d)
Colin Peter FigueroaMorgan Stanley wirehouseCapital One Advisors, LLC otherOtherNov 7, 2016Nov 23, 2016
Mark Steven RitvalskiStrategic Advisers LLC national BDCapital One Advisors, LLC otherOtherNov 1, 2016Oct 28, 2016
Thadius BeaversAdvice And Planning Services otherCapital One Advisors, LLC otherOtherOct 28, 2016Nov 15, 2016
Anupa Ann PhilipWells Fargo Advisors wirehouseCapital One Advisors, LLC otherOtherOct 27, 2016Sep 20, 2017 (328 d)
Charlie DaveeUnited Capital Financial Advisors otherCapital One Advisors, LLC otherOtherOct 20, 2016Oct 20, 2016
Neetul K SharmaSpire Wealth Management, LLC otherCapital One Advisors, LLC otherOtherOct 17, 2016Nov 7, 2016
Douglas P GeraghtyCommonwealth Financial Network national BDCapital One Advisors, LLC otherOtherSep 22, 2016Oct 10, 2016
Barry Elijah WombleMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC otherOtherSep 6, 2016Sep 9, 2016
Jamie Lynne WilliamsAmeriprise Financial Services, LLC national BDCapital One Advisors, LLC otherOtherSep 1, 2016Oct 18, 2016 (47 d)
Gregory Allan CorsoMorgan Stanley wirehouseCapital One Advisors, LLC otherOtherSep 1, 2016Mar 7, 2017 (187 d)
Simon WhitakerUsaa Financial Planning Services no RAUMCapital One Advisors, LLC otherOtherAug 30, 2016Jun 1, 2017 (275 d)
Stacy Ann WellsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC otherOtherAug 24, 2016Dec 15, 2016 (113 d)
Claudel DemostheneMorgan Stanley wirehouseCapital One Advisors, LLC otherOtherAug 19, 2016Dec 6, 2016 (109 d)
James Frederick ShaffermanUBS Financial Services Inc. wirehouseCapital One Advisors, LLC otherOtherAug 18, 2016Sep 6, 2016
Kevin Michael BurkeMorgan Stanley wirehouseCapital One Advisors, LLC otherOtherAug 16, 2016Aug 4, 2016
Denise A OsadchukAmeriprise Financial Services, LLC national BDCapital One Advisors, LLC otherOtherAug 3, 2016Oct 5, 2016 (63 d)
Jesus A PompaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC otherOtherAug 2, 2016Sep 8, 2016 (37 d)
Teofilo RojasAegis Capital Corp. otherCapital One Advisors, LLC otherOtherJul 29, 2016Oct 3, 2016 (66 d)
Christopher Geddy HillWealthspire Advisors otherCapital One Advisors, LLC otherOtherJul 18, 2016Aug 1, 2016
Christopher GerrardEquitable Advisors, LLC national BDCapital One Advisors, LLC otherOtherJul 8, 2016Oct 3, 2016 (87 d)
Brett Michael DalessandroOsaic Institutions, Inc. otherCapital One Advisors, LLC otherOtherJul 7, 2016Jul 18, 2016
Elizabeth LesarJ.P. Morgan Securities LLC wirehouseCapital One Advisors, LLC otherOtherJul 6, 2016Aug 3, 2016
Christina BarbanteLPL Financial LLC otherCapital One Advisors, LLC otherOtherJun 28, 2016Jul 12, 2016
Adam Perry GreeneHancock Whitney Investment Services Inc. otherCapital One Advisors, LLC otherOtherJun 10, 2016Jun 9, 2016
Russell G BakerRaymond James Financial Services Advisors, Inc otherCapital One Advisors, LLC otherOtherJun 2, 2016Jun 17, 2016
William De La Vergne St PaulHancock Whitney Investment Services Inc. otherCapital One Advisors, LLC otherOtherApr 20, 2016May 11, 2016
Samuel M ReedMorgan Stanley wirehouseCapital One Advisors, LLC otherOtherApr 13, 2016Apr 5, 2016
David Richard MessinaCitizens Securities, Inc. otherCapital One Advisors, LLC otherOtherApr 11, 2016May 5, 2016
Freddie Latron BroadwayUsaa Financial Planning Services no RAUMCapital One Advisors, LLC otherOtherApr 8, 2016Sep 11, 2017 (521 d)
Vincent Thomas MaimoneEquitable Advisors, LLC national BDCapital One Advisors, LLC no RAUMOtherMar 1, 2016Mar 29, 2016
Moshe LewisUBS Financial Services Inc. wirehouseCapital One Advisors, LLC otherOtherFeb 29, 2016Sep 21, 2016 (205 d)
William DouglasValic Financial Advisors, Inc. otherCapital One Advisors, LLC no RAUMOtherFeb 12, 2016Mar 9, 2016
Matthew James FordStrategic Advisers LLC national BDCapital One Advisors, LLC otherOtherFeb 10, 2016Nov 8, 2016 (272 d)
Jose H MonroyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC no RAUMOtherFeb 4, 2016Feb 10, 2016
Tracy ClarkRaymond James Financial Services Advisors, Inc otherCapital One Advisors, LLC no RAUMOtherFeb 2, 2016Feb 5, 2016
Dylan John BurdickMcadam LLC otherCapital One Advisors, LLC otherOtherJan 4, 2016Aug 10, 2016 (219 d)
Damian Kerry ReillyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital One Advisors, LLC no RAUMOtherDec 22, 2015Jan 7, 2016
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132 moves match.