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 Northern Trust Securities, 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 |
|---|---|---|---|---|---|
| Christopher Douglas Begbie | Good Life Advisors, LLC independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2026 | Sep 9, 2026 |
| David Skolnik | Strategic Advisers LLC national BD | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2026 | Jul 7, 2026 |
| Zachary Daniel Bittenbender | Cetera Investment Advisers LLC BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jul 22, 2026 |
| Christopher M Janc | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 12, 2026 | Aug 3, 2026 (83 d) |
| Annette Guerra Musa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 6, 2026 | Apr 16, 2026 |
| Brandon Chance Kaletkowski | Truist Advisory Services, Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2026 | Apr 15, 2026 |
| Zach Turner Granberry | Texas Capital Bank Private Wealth Advisors independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Mar 6, 2026 | Apr 28, 2026 (53 d) |
| Eric M Fasse | Cabrera Capital Partners state registered | Northern Trust Securities, Inc BD affiliated | Other | Jan 13, 2026 | Feb 2, 2026 |
| Chris Baker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Nov 13, 2025 |
| Casey A Prisco | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 26, 2025 | Sep 16, 2025 |
| Aleese Peterson-Cotton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 15, 2025 | Sep 4, 2025 |
| Ramsen E Odicho | Edward Jones national BD | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2025 | Sep 29, 2025 (63 d) |
| Brent Allen Penrose | J.P. Morgan Securities LLC wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2025 | Feb 3, 2026 (301 d) |
| Amanda Tawney Williams | Northern Trust Investments, Incorporated asset manager | Northern Trust Securities, Inc BD affiliated | Other | Feb 20, 2025 | May 25, 2022 |
| Kevin J Ryan | Charles Schwab & Co., Inc. national BD | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2025 | Feb 13, 2025 |
| Zachary Lynwood Wagner | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 2, 2025 | Feb 10, 2025 (39 d) |
| Adam Christopher Thein | Robert W. Baird & Co. Incorporated mixed wealth | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Nov 7, 2024 | Nov 6, 2024 |
| Dillon John Kane | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 30, 2024 | Sep 5, 2024 |
| Aaron Charles Litman | Ally Invest Advisors independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 31, 2024 | Aug 16, 2024 |
| Adam C Erickson | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2024 | Jul 31, 2024 |
| Matthew Richard Kline | Texas Capital Bank Private Wealth Advisors independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jun 18, 2024 | Apr 1, 2026 (652 d) |
| Cesar Noe Pena | Fidelity Personal And Workplace Advisors BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | May 16, 2024 | May 24, 2024 |
| Matthew Joseph Schilling | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 9, 2024 | May 21, 2024 (42 d) |
| Edward Ray Vesely | Citigroup Global Markets Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2024 | May 9, 2024 (34 d) |
| George Hurley | J.P. Morgan Securities LLC wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 17, 2024 | Mar 6, 2024 |
| Max Donald Miller | Hightower Advisors, LLC BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 5, 2023 | Apr 11, 2024 (128 d) |
| Ashley Marie Setter | J.P. Morgan Securities LLC wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 15, 2023 | Jan 8, 2024 (177 d) |
| Andrew Grabato | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 29, 2023 | Apr 7, 2023 |
| Megan Kelly Smolinske | Woodbury Financial Services, Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2023 | Mar 7, 2023 |
| Mark Dragoslovich | Wells Fargo Advisors wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 1, 2023 | Jan 12, 2023 |
| Kathryn Rhea Jones | Fidelity Personal And Workplace Advisors BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2023 | Oct 30, 2023 (298 d) |
| Kollin Schaudt | Sagepoint Financial, Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2022 | Dec 19, 2022 |
| Joseph K Hume | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 29, 2022 | Nov 30, 2022 |
| Lazarus L Goosby | Nuveen Asset Management, LLC other | Northern Trust Securities, Inc BD affiliated | Other | Oct 26, 2022 | Aug 13, 2025 (1022 d) |
| Maisa Ahmad | Fidelity Personal And Workplace Advisors BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2022 | Jul 12, 2022 |
| Kyle Walters | Edward Jones national BD | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 22, 2022 | Jul 20, 2022 |
| Leonida Antony Kourtoglou | E*Trade Capital Management, LLC independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | May 31, 2022 | Sep 5, 2023 (462 d) |
| Christoher W Barnes | Northern Trust Investments, Incorporated asset manager | Northern Trust Securities, Inc BD affiliated | Other | Feb 11, 2022 | Aug 28, 2018 |
| Anthony John Markham | Pruco Securities, LLC BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2022 | Jan 28, 2022 |
| George Steve Alkhoury | Fidelity Personal And Workplace Advisors BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2021 | Dec 17, 2021 |
| Daniel Schuld | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 31, 2021 | Feb 16, 2022 (169 d) |
| Christopher Daniel Ferraro | Wells Fargo Advisors wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 11, 2021 | Mar 11, 2021 |
| Matthew John Williams | Vanguard Advisers, Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2020 | Aug 30, 2021 (391 d) |
| Tyler J Tevich | Goldman Sachs Wealth Services, L.P. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2020 | Jul 14, 2020 |
| Lamar Remy | Td Ameritrade Investment Management, LLC independent RIA | Northern Trust Securities, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Apr 2, 2020 | Jan 5, 2021 (278 d) |
| Narsai George Toma | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 18, 2019 | Dec 20, 2019 (32 d) |
| Marisa Gutierrez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 8, 2019 | Sep 4, 2019 |
| Andrew Gregory Castro | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 5, 2019 | Sep 13, 2019 (70 d) |
| Paul Michael Jocson Reyes | Oppenheimer & Co. Inc. BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2018 | Jan 4, 2019 (35 d) |
| Sandra J Bell | Edelman Financial Services, LLC BD affiliated | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2018 | Mar 21, 2018 |
| Mariano M Perez | Morgan Stanley wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 14, 2017 | Jan 10, 2018 |
| Albert Won Kim | Ameriprise Financial Services, LLC national BD | Northern Trust Securities, Inc other | Other | Aug 18, 2017 | Aug 22, 2017 |
| Tonya Andrello | Wells Fargo Advisors wirehouse | Northern Trust Securities, Inc other | Other | Jun 20, 2017 | Sep 1, 2017 (73 d) |
| Alexandra Marie Furlong | Pnc Wealth Management other | Northern Trust Securities, Inc other | Other | May 2, 2017 | Apr 27, 2017 |
| Jeffrey Samuel Wasson | Wells Fargo Advisors wirehouse | Northern Trust Securities, Inc other | Other | Nov 22, 2016 | Feb 10, 2017 (80 d) |
| Nick Megremis | Securian Financial Services, Inc. other | Northern Trust Securities, Inc no RAUM | Other | Apr 15, 2015 | Apr 22, 2015 |
| Ryan Leslie Lachmansingh | Td Ameritrade Investment Management, LLC other | Northern Trust Securities, Inc no RAUM | Other | Oct 24, 2014 | Jul 27, 2015 (276 d) |
| Kevin Andrew Kaylakie | Maslow Wealth Advisors other | Northern Trust Securities, Inc no RAUM | Other | Sep 9, 2014 | Feb 9, 2015 (153 d) |
| Matthew Thomas Boswell | J.P. Morgan Securities LLC wirehouse | Northern Trust Securities, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 13, 2014 | Jun 13, 2023 (3287 d) |
| Adam Michael Cross | Edward Jones national BD | Northern Trust Securities, Inc no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 12, 2014 | Jan 14, 2015 (247 d) |
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106 moves match.