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 Dominick & Dominick 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.

AdvisorFromToTypeLeftRegistered
Gloria Luz AneirosHsbc Securities (USA) Inc. otherDominick & Dominick LLC otherOtherOct 24, 2014Nov 17, 2014
Montague Stephan HenryMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDominick & Dominick LLC otherOtherDec 19, 2012Feb 14, 2013 (57 d)
James BaroutasMorgan Stanley wirehouseDominick & Dominick LLC otherOtherMay 23, 2011Jun 7, 2011
Keith William PetrusUBS Financial Services Inc. wirehouseDominick & Dominick LLC otherOtherJul 7, 2010Sep 24, 2010 (79 d)
Marjorie Sue SamuelsJanney Montgomery Scott LLC otherDominick & Dominick LLC otherOtherJul 16, 2009Jul 9, 2009
Jonathan GreeneOppenheimer & Co. Inc. otherDominick & Dominick LLC otherOtherFeb 25, 2009Feb 24, 2009
Andrew Paul CongletonOppenheimer & Co. Inc. otherDominick & Dominick LLC otherOtherFeb 25, 2009Feb 24, 2009
Joseph Albert PriceUBS Financial Services Inc. wirehouseDominick & Dominick LLC otherOtherDec 31, 2007Apr 23, 2009 (479 d)
Bruce Adam SilverSands Brothers Asset Management LLC otherDominick & Dominick LLC otherOtherSep 18, 2006Sep 1, 2006
Gary Steven BrochinSuntrust Investment Services, Inc. otherDominick & Dominick LLC otherOtherJun 9, 2006Jun 26, 2006
Eli GelmanLehman Brothers Inc. unclassifiedDominick & Dominick LLC otherOtherJan 6, 2006Mar 16, 2006 (69 d)
John Andrew SanfilippoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDominick & Dominick LLC otherOtherOct 12, 2005Mar 23, 2006 (162 d)
Rodolfo Eduardo MilaniCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherFeb 22, 2005Aug 10, 2006 (534 d)
Eugene Joseph MulvaneyCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherJan 31, 2005Mar 20, 2006 (413 d)
Lawrence Howard LevyCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherSep 21, 2004Mar 17, 2006 (542 d)
Steven Anthony CasellaCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherSep 21, 2004Mar 17, 2006 (542 d)
Lynn Renee SperandeoCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherAug 16, 2004Sep 29, 2006 (774 d)
John Mead RustCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherOct 28, 2003Mar 6, 2006 (860 d)
Dewitt Loomis AlexandreCredit Suisse Securities (USA) LLC otherDominick & Dominick LLC otherOtherOct 28, 2003Mar 6, 2006 (860 d)
Roberto Luis LizamaMorgan Stanley Dw Inc. unclassifiedDominick & Dominick LLC otherOtherJun 25, 2003Aug 10, 2006 (1142 d)
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20 moves match.