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 Private Wealth Group LLC
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 |
|---|---|---|---|---|---|
| Matthew Joseph Oconnor | LPL Financial LLC BD affiliated | Capitol Private Wealth Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 16, 2025 | Feb 10, 2026 (56 d) |
| Nicholas Alexander Ferrari-Smith | Mai Capital Management, LLC independent RIA | Capitol Private Wealth Group LLC independent RIA | RIA to RIA | Dec 13, 2023 | Feb 1, 2024 (50 d) |
| Alison Leigh Cain | Ameriprise Financial Services, LLC national BD | Capitol Private Wealth Group LLC other | Other | Mar 14, 2017 | Mar 13, 2017 |
| Anders O Lundegard | Ameriprise Financial Services, LLC national BD | Capitol Private Wealth Group LLC other | Other | Sep 14, 2016 | Sep 14, 2016 |
| Lisa Marie Barbieri | Ameriprise Financial Services, LLC national BD | Capitol Private Wealth Group LLC other | Other | Jul 14, 2016 | Jul 14, 2016 |
| Giancarlo Dalimonte | Ameriprise Financial Services, LLC national BD | Capitol Private Wealth Group LLC other | Other | Jul 12, 2016 | Jul 12, 2016 |
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6 moves match.