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 Svb Investment Services 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
Gustavo ArceSvb Wealth independent RIASvb Investment Services Inc. BD affiliatedRIA to affiliated broker-dealer or bankNov 3, 2025Aug 31, 2021
Sandra Lee HealeyMorgan Stanley wirehouseSvb Investment Services Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMar 29, 2022Apr 13, 2022
Marcelo Ricardo Marinho-GomesWells Fargo Advisors wirehouseSvb Investment Services Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankDec 20, 2021Dec 6, 2021
Skyler R HardmanKey Investment Services LLC BD affiliatedSvb Investment Services Inc. BD affiliatedAffiliated broker-dealer or bank to anotherDec 6, 2021Jan 7, 2022 (32 d)
Eric Anthony HallmanFidelity Personal And Workplace Advisors BD affiliatedSvb Investment Services Inc. BD affiliatedAffiliated broker-dealer or bank to anotherOct 12, 2021Oct 12, 2021
Craig L CaukinWestriver Management, LLC asset managerSvb Investment Services Inc. BD affiliatedOtherSep 16, 2021Sep 14, 2021
Casey Daniel PatonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSvb Investment Services Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankAug 31, 2021Sep 13, 2021
Arend Johannes WarmerdamFisher Investments independent RIASvb Investment Services Inc. BD affiliatedRIA to affiliated broker-dealer or bankAug 17, 2021Sep 13, 2021
Maximilian OrtizMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSvb Investment Services Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankJul 26, 2021Jul 30, 2021
Lana XiaoSummitry, LLC independent RIASvb Investment Services Inc. BD affiliatedRIA to affiliated broker-dealer or bankJun 17, 2021Jun 25, 2021
Myles IllionJ.P. Morgan Securities LLC wirehouseSvb Investment Services Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMay 13, 2021May 17, 2021
Federico J MartinZions Capital Advisors, Inc. institutionalSvb Investment Services Inc. BD affiliatedOtherMay 5, 2021May 5, 2021
Kiera Nicole BlinzingerWells Fargo Advisors wirehouseSvb Investment Services Inc. BD affiliatedWirehouse to affiliated broker-dealer or bankMay 4, 2021Sep 27, 2021 (146 d)
Mark T ChildsHsbc Securities (USA) Inc. BD affiliatedSvb Investment Services Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 14, 2021May 18, 2021 (124 d)
Garek Edward ParryWells Fargo Advisors wirehouseSvb Investment Services Inc. independent RIAWirehouse to independent RIAJan 11, 2021Jan 6, 2021
Kyle Glenn StephensWells Fargo Advisors wirehouseSvb Investment Services Inc. independent RIAWirehouse to independent RIANov 16, 2020Oct 28, 2020
Dillon DutkanychFidelity Personal And Workplace Advisors BD affiliatedSvb Investment Services Inc. independent RIAAffiliated broker-dealer or bank to independent RIASep 28, 2020Sep 30, 2020
Sigita BakerWells Fargo Advisors wirehouseSvb Investment Services Inc. independent RIAWirehouse to independent RIAAug 19, 2020Aug 19, 2020
Qwendalynn Thuc LaiWells Fargo Advisors wirehouseSvb Investment Services Inc. independent RIAWirehouse to independent RIAApr 30, 2020Apr 28, 2020
William E MontagueMML Investors Services, LLC BD affiliatedSvb Investment Services Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 21, 2020Apr 28, 2020
Shirley Jane LeungScenic Advisement Wealth independent RIASvb Investment Services Inc. independent RIARIA to RIAFeb 28, 2020Mar 11, 2020
Joshua Gary ThomasWells Fargo Advisors wirehouseSvb Investment Services Inc. independent RIAWirehouse to independent RIAJan 7, 2020Jan 22, 2020
William Courtney LeffallDimensional Fund Advisors LP asset managerSvb Investment Services Inc. independent RIAOtherOct 2, 2019Mar 17, 2021 (532 d)
William Bonham ScogginsKeel Point, LLC independent RIASvb Investment Services Inc. independent RIARIA to RIAAug 6, 2019Feb 12, 2020 (190 d)
Timothy Robert CoutureGoodman Advisory Group, LLC independent RIASvb Investment Services Inc. independent RIARIA to RIAMar 26, 2019May 28, 2019 (63 d)
Amy Stacy BornHightower Advisors, LLC BD affiliatedSvb Investment Services Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 21, 2018Jan 14, 2022 (1242 d)
Vincent Marc CapolupoMorgan Stanley wirehouseSvb Investment Services Inc. independent RIAWirehouse to independent RIAAug 7, 2018Aug 30, 2018
Jennifer HollersUsaa Investment Services Company BD affiliatedSvb Investment Services Inc. independent RIAAffiliated broker-dealer or bank to independent RIAMar 12, 2018Mar 30, 2018
Robert S. HolmanMorgan Stanley wirehouseSvb Investment Services Inc. otherOtherSep 5, 2017Sep 13, 2017
Judy HanSvb Asset Management otherSvb Investment Services Inc. otherOtherJan 17, 2017Jan 5, 2017
Michael J ConwaySvb Asset Management otherSvb Investment Services Inc. otherOtherJan 17, 2017Feb 7, 2017
David Thomas BuxtonSvb Asset Management otherSvb Investment Services Inc. otherOtherJan 17, 2017Sep 6, 2017 (232 d)
Thomas Michael McguireCitigroup Global Markets Inc. otherSvb Investment Services Inc. otherOtherJul 15, 2016Jan 9, 2017 (178 d)
Daniel Fox WalkerStrategic Advisers LLC national BDSvb Investment Services Inc. otherOtherJul 27, 2015Jul 30, 2015
Sirma M TzoutzovaStrategic Advisers LLC national BDSvb Investment Services Inc. no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 18, 2013Aug 22, 2013 (35 d)
Ryan Michael FicksWaddell & Reed otherSvb Investment Services Inc. otherOtherAug 10, 2012Aug 22, 2017 (1838 d)
Pablo Martin SernaBanc Of America Investment Services, Inc. unclassifiedSvb Investment Services Inc. independent RIAOtherApr 14, 2009Mar 12, 2020 (3985 d)
Ann Marie LucchesiRBC Capital Markets, LLC national BDSvb Investment Services Inc. otherOtherFeb 2, 2006Jun 30, 2015 (3435 d)
Jeffrey Noveda ManuelMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSvb Investment Services Inc. otherOtherJan 10, 2005Apr 28, 2017 (4491 d)
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39 moves match.