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 Moors & Cabot, 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 |
|---|---|---|---|---|---|
| Robert D Selleck | Morgan Stanley wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2026 | Aug 31, 2026 |
| Inis Mija | Keenan Financial independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Aug 4, 2026 | Jul 28, 2026 |
| Loreli Ann Ghee | Coker & Palmer independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 29, 2026 | Jul 20, 2026 |
| Julie Coopwood Carpenter | Coker & Palmer independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2026 | Jul 17, 2026 |
| Claire Cofer Friedrichs | Coker & Palmer independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2026 | Jul 20, 2026 |
| Michael Peter Miller | Coker & Palmer independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2026 | Jul 17, 2026 |
| Bobby Joe Miles | Coker & Palmer independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2026 | Jul 17, 2026 |
| Nathan Lewis Wood | Coker & Palmer independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2026 | Jul 17, 2026 |
| Thomas Bell Childs | The Patriot Financial Group, LLC independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | May 28, 2026 | May 18, 2026 |
| Ian Andrew Amberson | Schwab Wealth Advisory, Inc. no RAUM | Moors & Cabot, Inc BD affiliated | Other | Apr 20, 2026 | May 22, 2026 (32 d) |
| Tanner Ryan Welch | Pinnacle Peak Private Client Group, LLC independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Oct 28, 2025 | Dec 18, 2025 (51 d) |
| Amanda Rachelle Castellano | Alliancebernstein L.P. asset manager | Moors & Cabot, Inc BD affiliated | Other | Sep 16, 2025 | Oct 30, 2025 (44 d) |
| Lisa Marie Isaacs | Morgan Stanley wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2025 | Sep 24, 2025 |
| Dallis Khane Goodson | Citizens Securities, Inc. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Aug 18, 2025 |
| Andrew Joseph Phelan | Morgan Stanley wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 25, 2025 | Dec 16, 2025 (266 d) |
| Bruce Johnson Scott | Wells Fargo Advisors wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 24, 2025 | Mar 17, 2025 |
| Nelson Zompetti | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 25, 2025 | Feb 19, 2025 |
| Scot B Wilks | Fidelity Personal And Workplace Advisors BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 23, 2024 | Jan 2, 2025 |
| Mark Kuniholm | Spire Wealth Management, LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Jun 23, 2025 (251 d) |
| Lori Ann Bayba | Cetera Investment Advisers LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2024 | Sep 3, 2024 |
| David John Horonzy | Janney Montgomery Scott LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 29, 2024 | Mar 20, 2024 |
| Christopher Alfred Koszitzki | Fidelity Personal And Workplace Advisors BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 12, 2024 | Mar 25, 2026 (803 d) |
| Michael K Warne | RBC Capital Markets, LLC national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2024 | Jan 2, 2024 |
| Joseph L. Duran | Cambridge Investment Research Advisors, Inc. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2023 | Jan 2, 2024 |
| Winfield Keys Mayne | First Citizens Investor Services, Inc. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2023 | Dec 4, 2023 |
| Michael Egan | Gyroscope Capital Management Group LLC independent RIA | Moors & Cabot, Inc other | Other | Dec 7, 2023 | May 4, 2009 |
| Akhil Rajiv Iyengar | Goldman Sachs Wealth Services, L.P. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 20, 2023 | Jan 26, 2024 (67 d) |
| Andrew James Donahue | Measured Wealth Private Client Group, LLC independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Aug 25, 2023 | Aug 21, 2023 |
| Francis Kulak | Fbl Wealth Management, LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2023 | Aug 1, 2023 |
| Matthew James Johnson | Aviance Capital Partners LLC independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 5, 2023 | Jul 5, 2023 |
| Brian J Cotroneo | Aviance Capital Partners LLC independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 5, 2023 | Jul 5, 2023 |
| Mark Magnusen | Park Avenue Securities LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2023 | May 31, 2023 |
| Jerry Thomas Diamantides | Commonwealth Financial Network national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2023 | Mar 21, 2023 |
| Charley A. Borek | Equitable Advisors, LLC national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 20, 2023 | Jan 23, 2023 |
| John Essigman | Pruco Securities, LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2022 | Aug 4, 2022 |
| Keith Baier | Wells Fargo Advisors wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 24, 2022 | May 20, 2022 |
| Marc Steven Wolff | Southern Trust Financial Planning independent RIA | Moors & Cabot, Inc other | Other | Mar 3, 2022 | Oct 17, 2007 |
| James Paul Cooper | Southern Trust Financial Planning independent RIA | Moors & Cabot, Inc other | Other | Mar 1, 2022 | Oct 17, 2007 |
| J. Jay Flynn | Stifel, Nicolaus & Company, Incorporated national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2022 | Jan 14, 2022 |
| Daniel Robert Krueger | B.B. Graham & Company, Inc. independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Nov 5, 2021 | Nov 5, 2021 |
| Robert Edward Kelly | B.B. Graham & Company, Inc. independent RIA | Moors & Cabot, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Nov 5, 2021 | Nov 5, 2021 |
| Ryan David Tunison | Feic Financial Inc. other | Moors & Cabot, Inc BD affiliated | Other | Aug 11, 2021 | Sep 10, 2021 |
| Thomas Wilbur Jewsbury | Oppenheimer & Co. Inc. BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2021 | Jul 28, 2021 |
| Erik Allen O'Keefe | Ameriprise Financial Services, LLC national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2021 | Apr 21, 2021 |
| Kristopher Sean Phillips | Pruco Securities, LLC BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2021 | Jan 12, 2021 |
| Jamie P Frazier | Advice And Planning Services BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 15, 2021 (63 d) |
| Katherine Rose Kelliher | Gyroscope Capital Management Group LLC independent RIA | Moors & Cabot, Inc other | Other | Jan 8, 2020 | Apr 18, 2016 |
| Travis Scott Koch | Bmo Harris Financial Advisors, Inc BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2019 | Dec 16, 2020 (398 d) |
| Paul Francis Giacalone | UBS Financial Services Inc. wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2019 | Oct 25, 2019 |
| Rafael Hernandez | Wells Fargo Advisors wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 9, 2019 | Aug 15, 2019 |
| Mary V Mann | Morgan Stanley wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 16, 2019 | Jul 22, 2019 |
| David A Robbins | J.P. Morgan Securities LLC wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 17, 2019 | Jun 3, 2019 |
| Paul Lawrence Fowler | Wells Fargo Advisors wirehouse | Moors & Cabot, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 11, 2019 | Apr 23, 2019 (43 d) |
| Ashley W Folkes | Equitable Advisors, LLC national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2018 | Dec 17, 2018 |
| Michael Anthony Spartz | Ameriprise Financial Services, LLC national BD | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 11, 2018 | Feb 21, 2019 (163 d) |
| Yvonne L Shanklin | Edward Jones national BD | Moors & Cabot, Inc other | Other | Mar 19, 2018 | Jun 20, 2018 (93 d) |
| Phillip Robert Cheney | RBC Capital Markets, LLC national BD | Moors & Cabot, Inc other | Other | Dec 26, 2017 | Feb 15, 2018 (51 d) |
| Yanilsa Carmen Pinkus | Wells Fargo Advisors wirehouse | Moors & Cabot, Inc other | Other | Oct 16, 2017 | Oct 10, 2017 |
| Michael John Kurka | Morgan Stanley wirehouse | Moors & Cabot, Inc other | Other | Oct 3, 2017 | Oct 20, 2017 |
| James Walter Pillow | Wells Fargo Advisors wirehouse | Moors & Cabot, Inc other | Other | Sep 22, 2017 | Nov 15, 2017 (54 d) |
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106 moves match.