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 Alden Capital

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
Kenneth Richard SmithCohen & Company Financial Management, LLC asset managerAlden Capital no RAUMOtherJan 11, 2023Apr 2, 2018
Andrew J GiannoneBluestone Capital Management, LLC asset managerAlden Capital independent RIAOtherJun 30, 2022Jan 2, 2020
Deborah Ann DavisCommonwealth Financial Network national BDAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAApr 6, 2022Mar 31, 2022
John Glennon O'ConnellB. Riley Wealth Advisors, Inc. BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAJan 25, 2022Jan 4, 2022
Robert Arthur LansingWells Fargo Advisors wirehouseAlden Capital independent RIAWirehouse to independent RIAOct 14, 2021Oct 4, 2021
William Jude AtkinsHornor, Townsend & Kent, LLC BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2021Nov 10, 2021
Gustavo Isaac MasriRaymond James & Associates, Inc. national BDAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIASep 24, 2021Sep 16, 2021
Nathan Daniel GoadCetera Investment Advisers LLC BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAMay 17, 2021May 24, 2021
Lee Albert CalfoBluestone Capital Management, LLC asset managerAlden Capital independent RIAOtherJan 13, 2021Aug 20, 2018
Derek Rudolf D'AlonzoAmeriprise Financial Services, LLC national BDAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAOct 29, 2020Dec 2, 2020 (34 d)
Tedd Aaron MeyerHornor, Townsend & Kent, LLC BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAJul 28, 2020Jul 27, 2020
Michael James FrederickOsaic Advisory Services, LLC BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAJul 1, 2020Jun 8, 2020
Charles Leroy WisnerWells Fargo Advisors wirehouseAlden Capital independent RIAWirehouse to independent RIAJun 24, 2020Jun 22, 2020
James Nendel PeppermanBluestone Capital Management, LLC asset managerAlden Capital independent RIAOtherJun 18, 2020Jun 4, 2020
Richard Shant ChebookjianBluestone Capital Management, LLC asset managerAlden Capital independent RIAOtherMay 28, 2020May 2, 2020
Robert Edward FishBluestone Capital Management, LLC asset managerAlden Capital independent RIAOtherMay 28, 2020May 1, 2020
Brandon Joseph SkupskiOsaic Advisory Services, LLC BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIAMay 20, 2020May 19, 2020
Frederick Charles PetersBluestone Capital Management, LLC asset managerAlden Capital independent RIAOtherFeb 4, 2020Jan 24, 2020
Christopher John ColoracciOppenheimer & Co. Inc. BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIADec 6, 2019Dec 6, 2019
David Blair ThompsonTd Private Client Wealth LLC BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIADec 5, 2019Jun 5, 2020 (183 d)
Andrew Bret BurquestAdvice And Planning Services BD affiliatedAlden Capital independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2019Sep 3, 2021 (730 d)
Robert Thomas GuerraMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAlden Capital otherOtherJul 6, 2019Jul 5, 2019
Yu ChenEagle Strategies LLC BD affiliatedAlden Capital otherOtherFeb 12, 2019Aug 9, 2019 (178 d)
John ColucciMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAlden Capital no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jul 17, 2018Jul 16, 2018
John Francis MulqueenBluestone Capital Management, LLC otherAlden Capital no RAUMOtherNov 15, 2017May 23, 2018 (189 d)
Sean Michael HennesseyWells Fargo Advisors wirehouseAlden Capital independent RIAWirehouse to independent RIANov 22, 2016Oct 30, 2018 (707 d)
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26 moves match.