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 Sharebuilder 401k

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
Duncan Macmillan VarelaEagle Strategies LLC BD affiliatedSharebuilder 401k no RAUMOtherMar 31, 2022Mar 24, 2022
Steven Lynn OnealAllstate Financial Advisors, LLC BD affiliatedSharebuilder 401k no RAUMOtherNov 23, 2021Dec 6, 2021
Corbin James LykinsCharles Schwab & Co., Inc. national BDSharebuilder 401k no RAUMOtherMay 28, 2021Dec 8, 2023 (924 d)
Christopher Keith WilkinsonCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Aug 2, 2019
Stuart Remley RobertsonCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Jul 31, 2019
Nicholas George TsiakilosCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Aug 2, 2019
Kelly Lee AusburnCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Aug 2, 2019
Paul Morgan HopkinsCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Aug 7, 2019
Vince HacutCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Aug 2, 2019
Phillip Charles DonaldCapital One Advisors, LLC no RAUMSharebuilder 401k no RAUMOtherAug 1, 2019Aug 15, 2019
Sara Jane AndresM Holdings Securities, Inc. BD affiliatedSharebuilder 401k no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 20, 2018Jan 16, 2020 (545 d)
Cynthia Joan GhaffariMorgan Stanley wirehouseSharebuilder 401k no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jul 2, 2018Jul 16, 2019 (379 d)
Garrett Willis SilverCapital One Advisors, LLC otherSharebuilder 401k no RAUMOtherOct 18, 2016Sep 30, 2019 (1077 d)
Robert Torpy MillerCapital One Advisors, LLC otherSharebuilder 401k no RAUMOtherApr 11, 2016Jul 16, 2019 (1191 d)
Suzanne Buchanan TaylorKelmoore Investment Company, Inc. unclassifiedSharebuilder 401k no RAUMOtherApr 4, 2008Aug 6, 2019 (4141 d)
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15 moves match.