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 Deutsche Bank Securities 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.

Advisor	From	To	Type	Left	Registered
Amish S Jhaveri	Citigroup Global Markets Inc. BD affiliated	Deutsche Bank Securities Inc. BD affiliated	Affiliated broker-dealer or bank to another	Sep 9, 2022	Oct 19, 2022 (40 d)
Joshua M Underwood	Citigroup Global Markets Inc. BD affiliated	Deutsche Bank Securities Inc. BD affiliated	Affiliated broker-dealer or bank to another	Sep 8, 2022	Oct 11, 2022 (33 d)
Erik Donohue	Citigroup Global Markets Inc. BD affiliated	Deutsche Bank Securities Inc. BD affiliated	Affiliated broker-dealer or bank to another	May 31, 2022	Jun 24, 2022
Tina Tzu-Yi Tsao	Citigroup Global Markets Inc. BD affiliated	Deutsche Bank Securities Inc. BD affiliated	Affiliated broker-dealer or bank to another	Mar 31, 2022	Jun 7, 2022 (68 d)
Kevin Nagib Cordova Celleri	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. BD affiliated	Wirehouse to affiliated broker-dealer or bank	Feb 17, 2022	Feb 18, 2022
Shelly S Wong	Hsbc Securities (USA) Inc. BD affiliated	Deutsche Bank Securities Inc. BD affiliated	Affiliated broker-dealer or bank to another	Jan 14, 2022	Feb 3, 2022
Mayra Alejandra Alejandra Uribe-Quiceno	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. BD affiliated	Wirehouse to affiliated broker-dealer or bank	Sep 15, 2021	Nov 4, 2021 (50 d)
Rahul Varshneya	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. BD affiliated	Wirehouse to affiliated broker-dealer or bank	Aug 27, 2021	Dec 16, 2021 (111 d)
Lindsay M. Mccracken	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. BD affiliated	Wirehouse to affiliated broker-dealer or bank	Jul 20, 2021	Nov 5, 2021 (108 d)
Peter Mcevoy	Blackrock Investment Management, LLC other	Deutsche Bank Securities Inc. BD affiliated	Other	Jan 26, 2021	Aug 22, 2022 (573 d)
Rashead Eric Harper	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 6, 2019	Oct 3, 2019
Rui Maria Forcada	Hsbc Securities (USA) Inc. BD affiliated	Deutsche Bank Securities Inc. other	Other	Jun 7, 2019	Jul 24, 2019 (47 d)
Antonio C. Barbosa	Hsbc Securities (USA) Inc. BD affiliated	Deutsche Bank Securities Inc. other	Other	Jun 7, 2019	Jul 29, 2019 (52 d)
Michael Andrew Rogers	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 6, 2019	Jul 26, 2019 (50 d)
Hagop Harout Balabanian	RBC Securities, Inc. independent RIA	Deutsche Bank Securities Inc. other	Other	Jun 3, 2019	Jul 9, 2019 (36 d)
Harrison Lee Fisher	Lord, Abbett & Co. LLC asset manager	Deutsche Bank Securities Inc. other	Other	May 14, 2019	May 29, 2019
David Avila-Angarita	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 2, 2019	Apr 10, 2019
Kenneth A Montgomery	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 15, 2019	Feb 4, 2021 (720 d)
Jeffrey B Rait	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 5, 2018	Aug 6, 2019 (244 d)
Lori B Jackson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Nov 27, 2018	May 15, 2019 (169 d)
Santo S Vicenzino	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Nov 20, 2018	May 15, 2019 (176 d)
Johnathan Hirsh	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. BD affiliated	Wirehouse to affiliated broker-dealer or bank	May 15, 2018	Oct 24, 2018 (162 d)
Curtis Rutherford	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	May 8, 2018	May 31, 2019 (388 d)
Lina Marcela Clarke	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Nov 9, 2017	Nov 28, 2017
Enrique Tiburcio	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Oct 3, 2017	Oct 10, 2017
Jeremy Veres	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Aug 1, 2016	Aug 2, 2016
Christopher Anthony Sozio	Strategic Advisers LLC national BD	Deutsche Bank Securities Inc. other	Other	Jul 20, 2016	Jul 20, 2016
Steven Vincent Mattus	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. BD affiliated	Other	Jun 24, 2016	Apr 27, 2018 (672 d)
Aimee Elizabeth Fox	Janney Montgomery Scott LLC other	Deutsche Bank Securities Inc. other	Other	May 3, 2016	May 2, 2016
Frank Debenedittis	Barclays Capital Inc. other	Deutsche Bank Securities Inc. BD affiliated	Other	Dec 15, 2015	Apr 26, 2021 (1959 d)
Robert Joseph Gregory Mendoza	Ameriprise Financial Services, LLC national BD	Deutsche Bank Securities Inc. other	Other	Nov 3, 2015	Nov 5, 2015
Margaret Tylor Mcmanis	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Nov 3, 2015	Jan 28, 2016 (86 d)
Jessica Noelle Grigsby Bordelon	Valic Financial Advisors, Inc. other	Deutsche Bank Securities Inc. other	Other	Oct 14, 2015	Nov 11, 2015
Donna Maria Raymond	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Aug 18, 2015	Nov 23, 2015 (97 d)
Jordan A Funt	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 24, 2015	Jun 9, 2015
Fred Seberry Culvyhouse	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 15, 2015	Jul 15, 2015
Robert Quick	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 7, 2015	Mar 27, 2015
Jennifer Marie Race	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Jan 30, 2015	Feb 3, 2015
Christopher Malmevik	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Dec 19, 2014	Dec 18, 2014
Rajiv Shah	Kovack Advisors, Inc. other	Deutsche Bank Securities Inc. other	Other	Sep 18, 2014	Oct 24, 2014 (36 d)
Matthew Anderson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Aug 29, 2014	Sep 18, 2014
Kimberly A Swanson	Equitable Advisors, LLC national BD	Deutsche Bank Securities Inc. other	Other	Aug 13, 2014	Sep 19, 2014 (37 d)
Roger Bruce Syracuse	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 22, 2014	Apr 16, 2014
Gary Rivano	J.P. Morgan Securities LLC wirehouse	Deutsche Bank Securities Inc. other	Other	Apr 3, 2014	Apr 22, 2014
Timothy Smith Jones	Lanark Financial, Inc. other	Deutsche Bank Securities Inc. other	Other	Apr 2, 2014	Apr 17, 2014
David Bunim Rosenthal	Dominari Securities LLC other	Deutsche Bank Securities Inc. other	Other	Feb 20, 2014	Feb 28, 2014
Diego De La Lama	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Jan 28, 2014
Diego Canalda	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Feb 6, 2014
Roman Meyerhans	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Feb 4, 2014
Narciso Munoz	Barclays Capital Inc. other	Deutsche Bank Securities Inc. other	Other	Feb 18, 2014	Jan 28, 2014
Jill Marie Dorr	Northwestern Mutual Investment Services,LLC other	Deutsche Bank Securities Inc. other	Other	Feb 6, 2014	Mar 24, 2014 (46 d)
Omar Javier Macias	Wells Fargo Advisors wirehouse	Deutsche Bank Securities Inc. other	Other	Feb 4, 2014	Feb 7, 2014
Victor Raymond Storck	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Jan 8, 2014	Jun 2, 2014 (145 d)
Jarrett Alexander Brady	Credit Suisse Securities (USA) LLC other	Deutsche Bank Securities Inc. other	Other	Oct 1, 2013	Sep 19, 2013
Michelle Wada	UBS Financial Services Inc. wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 25, 2013	Mar 10, 2014 (166 d)
Stephen Richard Cordill	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 3, 2013	Aug 30, 2013
Stephan M Farber	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 3, 2013	Aug 30, 2013
Michael Carlisle Dawson	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Sep 3, 2013	Aug 30, 2013
David Picton Suttles	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Deutsche Bank Securities Inc. other	Other	Aug 20, 2013	Aug 30, 2013
Lawrence W Gonnello	Morgan Stanley wirehouse	Deutsche Bank Securities Inc. other	Other	Jun 18, 2013	Jun 10, 2013

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262 moves match.