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 Bank And Trust Company

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
Mark William FlowerWells Fargo Advisors wirehouseCapital Bank And Trust Company mixed wealthWirehouse to independent RIAMar 30, 2021May 25, 2021 (56 d)
Yelena Leah VaynerWells Fargo Advisors wirehouseCapital Bank And Trust Company mixed wealthWirehouse to independent RIAFeb 16, 2021Apr 19, 2021 (62 d)
Junia Pan LiHsbc Securities (USA) Inc. BD affiliatedCapital Bank And Trust Company mixed wealthAffiliated broker-dealer or bank to independent RIAJan 25, 2021Feb 1, 2021
Susannah EmamiAlliancebernstein L.P. otherCapital Bank And Trust Company mixed wealthOtherOct 2, 2019Oct 17, 2019
Michelle Missant JacksonMorgan Stanley wirehouseCapital Bank And Trust Company mixed wealthWirehouse to independent RIAJul 5, 2019Dec 6, 2019 (154 d)
Massimigliano Santo SassoRBC Rochdale, LLC otherCapital Bank And Trust Company independent RIAOtherJun 28, 2019Sep 9, 2019 (73 d)
Dean William CatalanoWells Fargo Advisors wirehouseCapital Bank And Trust Company otherOtherSep 18, 2018Sep 26, 2018
Jennifer Baker CookNew Market Wealth Management, LLC independent RIACapital Bank And Trust Company mixed wealthRIA to RIAAug 2, 2018Jun 24, 2020 (692 d)
Xavier PeoplesMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Bank And Trust Company independent RIAWirehouse to independent RIAMay 29, 2018Nov 29, 2018 (184 d)
Michael James MorrisseyAlliancebernstein L.P. otherCapital Bank And Trust Company otherOtherMar 22, 2018Aug 6, 2018 (137 d)
Mary Patricia TupperWells Fargo Advisors wirehouseCapital Bank And Trust Company otherOtherFeb 13, 2018Mar 27, 2018 (42 d)
Victoria Ashleigh DysonConvergent Wealth Advisors, LLC otherCapital Bank And Trust Company otherOtherAug 26, 2016Jul 26, 2016
Grant Robert WithersFirst Foundation Advisors otherCapital Bank And Trust Company otherOtherSep 14, 2015Jan 26, 2016 (134 d)
Joseph William GalunasE*Trade Capital Management, LLC otherCapital Bank And Trust Company otherOtherAug 6, 2015Jun 8, 2017 (672 d)
Zornitsa Ventsislavova SantiagoDimensional Fund Advisors LP otherCapital Bank And Trust Company mixed wealthOtherMay 20, 2015Feb 17, 2021 (2100 d)
Sung Pyo LeeCsenge Advisory Group, LLC otherCapital Bank And Trust Company otherOtherMay 14, 2015May 26, 2016 (378 d)
Michael Edmond SchmidHamrick Investment Counsel, LLC otherCapital Bank And Trust Company mixed wealthOtherNov 28, 2012Jan 6, 2020 (2595 d)
Thomas Nicholas AndersonNeuberger Berman Bd LLC otherCapital Bank And Trust Company otherOtherApr 6, 2010Jun 26, 2018 (3003 d)
Scott Andrew SandeeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseCapital Bank And Trust Company independent RIAWirehouse to independent RIAMar 1, 2010Oct 18, 2018 (3153 d)
Katerina Larissa NalywajkoRBC Securities, Inc. otherCapital Bank And Trust Company otherOtherJul 1, 2005Mar 1, 2018 (4626 d)
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20 moves match.