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 Capitol Securities 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
Natalie Anne GrossWells Fargo Advisors wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIAAug 26, 2026Sep 2, 2026
Morgan R AllenBeau Morgan Advisors independent RIACapitol Securities Management, Inc. independent RIARIA to RIAJun 17, 2026Jul 30, 2026 (43 d)
Stephanie Williams GuanziniFirst Citizens Investor Services, Inc. BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 30, 2025Nov 13, 2025 (44 d)
Stephen Mattison BlissMorgan Stanley wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIAApr 7, 2025Aug 7, 2025 (122 d)
Thomas Octave PekarCetera Investment Advisers LLC BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 26, 2024Dec 18, 2024
Carol A Dinh Nhat QuyMorgan Stanley wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIAJul 29, 2024Jul 22, 2024
William Holmes StewartArthur Wood Investment Advisors Corp unclassifiedCapitol Securities Management, Inc. independent RIAOtherOct 31, 2023Nov 3, 2023
Alan Walton SharpeArthur Wood Investment Advisors Corp unclassifiedCapitol Securities Management, Inc. independent RIAOtherOct 31, 2023Oct 26, 2023
Lawrence William NordmannCantella & Co., Inc. BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 9, 2022Dec 16, 2022
Logan Barrett SaufleyWells Fargo Advisors wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIANov 30, 2022Nov 1, 2022
Paul Allen BedingerCantella & Co., Inc. BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 12, 2022Sep 7, 2022
Laura CaseyMorgan Stanley wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIASep 1, 2022Aug 17, 2022
Claire E SojaAmeriprise Financial Services, LLC national BDCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAAug 23, 2022Aug 12, 2022
John CahillEquitable Advisors, LLC national BDCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 13, 2022Aug 2, 2022 (50 d)
John Joseph ScarpinoKey Investment Services LLC BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 31, 2022May 27, 2022
Irina ZubovB. Riley Wealth Advisors, Inc. BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 18, 2022Aug 5, 2022 (140 d)
Jason Todd FerreeWells Fargo Advisors wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIAFeb 28, 2022Feb 18, 2022
Joseph Gilbert MaurielloRaymond James Financial Services Advisors, Inc BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 11, 2021Apr 30, 2021
Jeffrey Richard PorterSbsb Financial Advisors independent RIACapitol Securities Management, Inc. otherOtherApr 13, 2021Jan 10, 2008
Edwin Clary BartlettMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIAApr 8, 2021Apr 7, 2021
Joseph J FumoWells Fargo Advisors wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIADec 21, 2020Apr 30, 2021 (130 d)
Robert Green1914 Advisors independent RIACapitol Securities Management, Inc. independent RIARIA to RIAAug 10, 2020Aug 11, 2020
Patrick D'Agostino1914 Advisors independent RIACapitol Securities Management, Inc. independent RIARIA to RIAJul 20, 2020Jun 23, 2020
Mark Alan OuttenLPL Financial LLC BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 22, 2020Jun 5, 2020
Joseph Nathan MarkimRaymond James Financial Services Advisors, Inc BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMay 12, 2020Apr 30, 2021 (353 d)
Herbert Thomas WolfRaymond James Financial Services Advisors, Inc BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIANov 15, 2019Oct 19, 2022 (1069 d)
H. Edward BurgessWells Fargo Advisors wirehouseCapitol Securities Management, Inc. independent RIAWirehouse to independent RIASep 10, 2019Sep 6, 2019
Craig Scott SabloskyLPL Financial LLC independent RIACapitol Securities Management, Inc. independent RIARIA to RIAMay 8, 2019Apr 26, 2019
James Lee DayLPL Financial LLC independent RIACapitol Securities Management, Inc. independent RIARIA to RIAApr 9, 2019Jul 15, 2019 (97 d)
Robert Carter KnobelStifel, Nicolaus & Company, Incorporated national BDCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 30, 2019Jan 31, 2019
Stuart Jay KnobelStifel, Nicolaus & Company, Incorporated national BDCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJan 30, 2019Jan 25, 2019
Yevgeniy ShvetsSagevest Wealth Management independent RIACapitol Securities Management, Inc. independent RIARIA to RIASep 12, 2018Feb 13, 2019 (154 d)
Jason Allen SnyderRaymond James Financial Services Advisors, Inc BD affiliatedCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJun 26, 2018Jun 29, 2018
Arthur T GruttLPL Financial LLC independent RIACapitol Securities Management, Inc. independent RIARIA to RIAApr 25, 2018Mar 6, 2019 (315 d)
Timothy Jay ScherwaWells Fargo Advisors wirehouseCapitol Securities Management, Inc. otherOtherOct 26, 2017Jan 11, 2018 (77 d)
John Patrick OlearyWells Fargo Advisors wirehouseCapitol Securities Management, Inc. otherOtherAug 7, 2017Aug 4, 2017
Kevin Brian DoyleTruist Advisory Services, Inc. otherCapitol Securities Management, Inc. otherOtherAug 3, 2017Aug 21, 2017
Michael Monroe ViaFrantzen Capital Management, Inc. otherCapitol Securities Management, Inc. otherOtherJun 14, 2017Dec 1, 2016
Richard Carmine CioffiRBC Capital Markets, LLC national BDCapitol Securities Management, Inc. otherOtherMar 22, 2017Mar 13, 2017
Lysa Jill RothenbergNavy Federal Asset Management, LLC otherCapitol Securities Management, Inc. otherOtherJan 4, 2017Feb 8, 2018 (400 d)
Mark Eugene BechtleWells Fargo Advisors wirehouseCapitol Securities Management, Inc. otherOtherOct 17, 2016Oct 7, 2016
Bradford Miles KimballRBC Capital Markets, LLC national BDCapitol Securities Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAJul 25, 2016Jan 8, 2020 (1262 d)
Samuel Chi Tat LamWells Fargo Advisors wirehouseCapitol Securities Management, Inc. otherOtherJun 24, 2016Oct 4, 2016 (102 d)
Jerry Gayle AlleyStifel, Nicolaus & Company, Incorporated national BDCapitol Securities Management, Inc. otherOtherFeb 23, 2016Feb 5, 2016
Timothy Edward StraitCapitol Financial Consultants, Inc. otherCapitol Securities Management, Inc. otherOtherDec 31, 2015Jan 4, 2016
Philip Francis ArnheiterOppenheimer & Co. Inc. otherCapitol Securities Management, Inc. otherOtherSep 10, 2015Aug 31, 2015
William Larry BendtJhs Capital Advisors, LLC otherCapitol Securities Management, Inc. otherOtherAug 4, 2015Aug 4, 2015
Richard Charles CallaghanSeelaus Asset Management, LLC otherCapitol Securities Management, Inc. otherOtherMay 15, 2015May 15, 2015
John R TrentanoveMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapitol Securities Management, Inc. otherOtherJan 5, 2015Jan 6, 2015
Christian FitzhughMorgan Stanley wirehouseCapitol Securities Management, Inc. otherOtherOct 17, 2014Oct 22, 2014
James Short CashmoreD.A. Davidson & Co. otherCapitol Securities Management, Inc. independent RIAOtherApr 15, 2014Dec 16, 2020 (2437 d)
Robert Marc MckoyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapitol Securities Management, Inc. otherOtherJan 7, 2014Feb 3, 2014
Angelia Clements KingMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapitol Securities Management, Inc. otherOtherJan 7, 2014Jan 3, 2014
Kevin ThompsonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapitol Securities Management, Inc. otherOtherJan 7, 2014Jan 3, 2014
Malcolm Job HuckabyMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapitol Securities Management, Inc. otherOtherJul 5, 2012Aug 21, 2012 (47 d)
Patrick Timothy BrosnanLPL Financial LLC otherCapitol Securities Management, Inc. otherOtherDec 31, 2011Jan 5, 2012
Michael Talmadge CrossAnderson & Strudwick, Incorporated otherCapitol Securities Management, Inc. otherOtherNov 21, 2011Nov 18, 2011
Laura Lynn SettleAnderson & Strudwick, Incorporated otherCapitol Securities Management, Inc. otherOtherNov 21, 2011Nov 18, 2011
Norman Kenneth MarshallAnderson & Strudwick, Incorporated otherCapitol Securities Management, Inc. otherOtherNov 10, 2011Oct 31, 2011
Timothy John CrytzerAnderson & Strudwick, Incorporated otherCapitol Securities Management, Inc. otherOtherSep 9, 2011Sep 13, 2011
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106 moves match.