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 Aegis Capital Corp.
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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Sam Te Su | Ameriprise Financial Services, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Sep 15, 2026 |
| David Lam | Ameriprise Financial Services, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Sep 1, 2026 | Sep 15, 2026 |
| Michael Nicholas Taglich | Taglich Brothers, Inc. mixed wealth | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | May 14, 2026 | Apr 28, 2026 |
| David D Davis | J.P. Morgan Securities LLC wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 28, 2026 | Aug 14, 2026 (108 d) |
| Jeffrey Nishijima | J.P. Morgan Securities LLC wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 10, 2026 | Jul 13, 2026 (94 d) |
| Leslie Anthony Netter | Morgan Stanley wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 31, 2026 | Apr 17, 2026 |
| Danny Shiva Sookram | Equitable Advisors, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2026 | Apr 23, 2026 (37 d) |
| Paul Richard Meyer | RBC Capital Markets, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2026 | Feb 18, 2026 |
| Robert Anders Herje | Northland Asset Management independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 16, 2025 | Jan 5, 2026 |
| Thomas Baker Hayn | Wells Fargo Advisors wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 3, 2025 | Dec 1, 2025 |
| Joseph Paul Mcerlean | LPL Financial LLC BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2025 | Sep 19, 2025 |
| Matthew Winthrop | Equitable Advisors, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2025 | Oct 2, 2025 |
| Henry Manuel Nunez | Osaic Institutions, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2025 | Aug 5, 2025 |
| Gregory John Dupee | Janney Montgomery Scott LLC BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2025 | Dec 11, 2025 (182 d) |
| Ranjeet Guptara | UBS Financial Services Inc. wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 20, 2025 | May 28, 2025 |
| Thaddeus James Sargent | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 14, 2025 | Apr 17, 2025 |
| William Randall Moening | RBC Capital Markets, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2025 | May 16, 2025 (37 d) |
| Mark Katz | Western International Securities BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2025 | Apr 29, 2025 (106 d) |
| Jose Eduardo Torres Martinez | Riwm, LLC state registered | Aegis Capital Corp. BD affiliated | Other | Dec 31, 2024 | Jan 1, 2025 |
| Arturo Gabriel Rodriguez | Riwm, LLC state registered | Aegis Capital Corp. other | Other | Dec 31, 2024 | Jul 13, 2015 |
| Norman Fuller Barrett | Wells Fargo Advisors wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 27, 2024 | Nov 15, 2024 |
| Manuel Jeremy Rose | Morgan Stanley wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 26, 2024 | Dec 6, 2024 |
| Michael Sandberg | Ameriprise Financial Services, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2024 | Nov 6, 2024 |
| Karsten Stephen Appel | Equitable Advisors, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2024 | Feb 25, 2025 (123 d) |
| Daniel Lawrence Caso | Raymond James & Associates, Inc. national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Mar 11, 2025 (141 d) |
| Kimberly Ann Barentsen | Independent Financial Group, LLC BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2024 | Oct 28, 2024 (53 d) |
| Christopher J Hilla | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 31, 2024 | Aug 19, 2025 (384 d) |
| Steven Cronin Castrello | Osaic Wealth, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Sep 9, 2024 (42 d) |
| Lawrence Joseph Najvar | Edward Jones national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | Jun 26, 2024 (50 d) |
| Marc Alan Liberman | B. Riley Wealth Advisors, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2024 | Apr 18, 2024 |
| Colin Patrick Carter | Morgan Stanley wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 11, 2024 | Nov 4, 2025 (572 d) |
| Maxito Pierre Isenhower | U.S. Bancorp Investments, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | Apr 26, 2024 |
| Jeff M Abodeely | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2024 | Apr 9, 2024 |
| Joseph Yong Yi | Esi Financial Advisors independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2024 | Apr 12, 2024 (31 d) |
| Jonathon Webster | Stifel, Nicolaus & Company, Incorporated national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2024 | Mar 19, 2024 (33 d) |
| William Jeffrey Carlton | UBS Financial Services Inc. wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 12, 2024 | Dec 22, 2023 |
| Guy Gregory Clemente | Andrew Garrett, Inc. independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 3, 2024 | Dec 22, 2023 |
| James Dessjuk | Ic Advisory Services, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Dec 15, 2023 |
| Daniel Anthony Delrosso | Ic Advisory Services, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Dec 15, 2023 |
| Jonathan Charles Weiss | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 8, 2023 | Feb 22, 2024 (76 d) |
| Andrew George Gergatsoulis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 5, 2023 | Dec 13, 2023 |
| Frank Alexander Ballinger | Capitol Securities Management, Inc. independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Oct 26, 2023 | Nov 6, 2023 |
| Leslie C Gosule | Avantax Advisory Services BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2023 | Aug 30, 2023 |
| Mark Hutchins Egener | Securities America Advisors, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2023 | Jul 14, 2023 |
| Richard Frank Parnigoni | Pin Wealth independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 2, 2023 | Jul 21, 2023 (49 d) |
| Samuel Noah Tenzer | B. Riley Wealth Advisors, Inc. BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2023 | May 1, 2023 |
| Kevin James Farrow | LPL Financial LLC BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2023 | Jul 31, 2023 (98 d) |
| David Stewart Silberg | Nfsg Corporation BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2023 | Apr 14, 2023 |
| Adrian Voytelmgum | Northwestern Mutual Investment Services,LLC no RAUM | Aegis Capital Corp. BD affiliated | Other | Apr 14, 2023 | May 22, 2023 (38 d) |
| Jeffery Harold Hattaway | Ameriprise Financial Services, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2023 | May 11, 2023 (43 d) |
| Jilena Yuen-Han Mok | Edward Jones national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2023 | May 11, 2023 (63 d) |
| Michael Robert Finnie | LPL Financial LLC independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 22, 2023 | Mar 8, 2023 |
| Clayton K Shum | Grove Point Advisors, LLC BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2023 | Feb 13, 2023 (32 d) |
| Matthew Bradley Mitchell | Bok Financial Advisors BD affiliated | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2023 | Jan 26, 2023 |
| Elizabeth Jane Tavel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 16, 2022 | Feb 2, 2023 (78 d) |
| Mark Douglas Panfil | Morgan Stanley wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 4, 2022 | Oct 10, 2022 |
| Philip R Johnson | J.P. Morgan Securities LLC wirehouse | Aegis Capital Corp. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 14, 2022 | Sep 6, 2022 (54 d) |
| David Philip Gershoni | Ameriprise Financial Services, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | May 23, 2022 | Apr 22, 2022 |
| Andrew Michael Brookman | LPL Financial LLC independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 18, 2022 | Mar 21, 2022 |
| Michael Kissi | Sb Advisory, LLC independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 4, 2022 | Apr 4, 2022 |
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151 moves match.