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 Advanced Equities, 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.

AdvisorFromToTypeLeftRegistered
Thomas Jon CasperLyons Wealth Management otherAdvanced Equities, Inc. otherOtherSep 17, 2012Dec 9, 2010
David M KubicaDavid A. Noyes & Company otherAdvanced Equities, Inc. otherOtherNov 10, 2011Nov 16, 2011
Michael Christopher BuchcarCitigroup Global Markets Inc. otherAdvanced Equities, Inc. otherOtherApr 8, 2010Jan 25, 2012 (657 d)
Christopher Clarke GilmorSvb Asset Management otherAdvanced Equities, Inc. otherOtherJan 8, 2010Dec 3, 2010 (329 d)
Arthur Leo ColemanCitigroup Global Markets Inc. otherAdvanced Equities, Inc. otherOtherDec 17, 2009Feb 1, 2010 (46 d)
William Knowis KaiserHennion & Walsh Asset Management, Inc. otherAdvanced Equities, Inc. otherOtherDec 14, 2009Feb 16, 2011 (429 d)
Nathan J HurtyEdward Jones national BDAdvanced Equities, Inc. otherOtherOct 9, 2009Dec 16, 2009 (68 d)
William Frederick PedersenFisher Investments otherAdvanced Equities, Inc. otherOtherJul 17, 2009Jul 17, 2009
Robert Joseph SzigetiFisher Investments otherAdvanced Equities, Inc. otherOtherOct 13, 2008Apr 9, 2010 (543 d)
Saju BahuleyanLasalle St. Investment Advisors, L.L.C. otherAdvanced Equities, Inc. otherOtherJun 20, 2008Apr 12, 2010 (661 d)
John B BalmerPeak Securities Corporation unclassifiedAdvanced Equities, Inc. otherOtherJun 3, 2008Jun 5, 2008
Daniel Patrick O'MalleyAmeriprise Advisor Services, Inc. unclassifiedAdvanced Equities, Inc. otherOtherMay 5, 2008Apr 15, 2009 (345 d)
Todd Lee SchossowRBC Capital Markets, LLC national BDAdvanced Equities, Inc. otherOtherApr 22, 2008Apr 15, 2008
Stacey Lee VelezCharles Schwab & Co., Inc. national BDAdvanced Equities, Inc. otherOtherJan 9, 2008Feb 13, 2008 (35 d)
Matthew Mark ReynoldsUsf Alternative Services, LLC unclassifiedAdvanced Equities, Inc. otherOtherApr 2, 2007Apr 17, 2007
Peter Sean McdonnellBanc Of America Investment Services, Inc. unclassifiedAdvanced Equities, Inc. otherOtherFeb 13, 2007Feb 20, 2007
James Patrick KozakHedeker Wealth LLC otherAdvanced Equities, Inc. otherOtherApr 27, 2006Jun 23, 2005
Gerald Palmer PascalWells Fargo Investments, LLC unclassifiedAdvanced Equities, Inc. otherOtherApr 21, 2006Jun 2, 2010 (1503 d)
James Patrick LynchBanc Of America Investment Services, Inc. unclassifiedAdvanced Equities, Inc. otherOtherOct 21, 2005Jul 30, 2008 (1013 d)
Glenn Scott SchwaljeHowe Barnes Capital Management, Inc. unclassifiedAdvanced Equities, Inc. otherOtherJul 20, 2005Jun 22, 2005
Stephen Pavey MeskanOppenheimer Asset Management otherAdvanced Equities, Inc. otherOtherJul 8, 2003Jul 23, 2004 (381 d)
Phillip FalkCredit Suisse Securities (USA) LLC otherAdvanced Equities, Inc. otherOtherFeb 14, 2003Oct 4, 2006 (1328 d)
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22 moves match.