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Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD 453

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ad18de3e-ab95-b261-9949-b11c8d96f016

Data as of Apr 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 851
Dated events: 4
On other graphs: 0
Observed: Dec 1, 2011 to Apr 12, 2019
40 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.3BItem 5.F on the latest filing (2019-04-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.9B
Private client RAUM: $8.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,025
Advisory employees: 384
Offices: 82Schedule D 1.F, beyond the principal office
Accounts: 31,198
Individual clients: 29,063
High net worth clients: 1,561
Custody, client assets: $0
SEC number: 801-23120
CRD: 453
Filings on the tape: 40
First filed: Dec 1, 2011
Latest filed: Apr 12, 2019
Organised: Limited Liability Company, Kentucky

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLEN, JAMES REID	CHAIRMAN OF THE BOARD, CEO	Na	yes	01/2004	Dec 1, 2011	Apr 12, 2019
ASFAHL, DONALD LEE	EXECUTIVE VICE PRESIDENT	Na	yes	12/2005	Dec 1, 2011	Apr 12, 2019
BAIRD FINANCIAL CORPORATION	Shareholder	E	yes	11/2018	Apr 12, 2019	Apr 12, 2019
BAIRD FINANCIAL GROUP, INC.	Shareholder	E	yes	10/2012	Apr 12, 2019	Apr 12, 2019
BAIRD HOLDING COMPANY	Shareholder	E	yes	05/2001	Apr 12, 2019	Apr 12, 2019
BOOTH, STEVEN GREGORY	Director	Na	yes	04/2019	Apr 12, 2019	Apr 12, 2019
CUTSINGER, CHARLES JOSEPH JR.	EXECUTIVE VICE PRESIDENT	Na	yes	07/2017	Aug 7, 2017	Apr 12, 2019
GRIMLEY, CHARLES MORRISON	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER	Na	yes	02/2010	Dec 1, 2011	Apr 12, 2019
HL FINANCIAL SERVICES, LLC	Member	E	yes	03/2008	Dec 1, 2011	Apr 12, 2019
KAPLAN, ELIZABETH C	SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	09/2005	Dec 1, 2011	Apr 12, 2019
KESSINGER, THOMAS BURKS III	DIRECTOR, PRESIDENT	Na	yes	06/2017	Jun 26, 2017	Apr 12, 2019
MILLER, CARMELLA RASI	CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT	Na	yes	01/2003	Dec 1, 2011	Apr 12, 2019
NEWMAN, ALAN HAMBURG	EXECUTIVE VICE PRESIDENT	Na	yes	07/2017	Aug 7, 2017	Apr 12, 2019
PAPACHRISTOU, NICHOLAS	CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT	Na	yes	04/2018	May 7, 2018	Apr 12, 2019
PURCELL, PAUL EDWARD	Director	Na	yes	04/2019	Apr 12, 2019	Apr 12, 2019
SCHROEDER, MICHAEL JOHN	Director	Na	yes	04/2019	Apr 12, 2019	Apr 12, 2019
WHITE, JALEIGH JEFFERS	EXECUTIVE VICE PRESIDENT	Na	yes	01/2012	Feb 6, 2012	Apr 12, 2019
AMATO, ANTHONY NICHOLAS JR	PRINCIPAL OPERATIONS OFFICER	Na	no	01/2019	Apr 12, 2019	Apr 12, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HILLIARD LYONS TRUST COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Lexington	Ky	United States	24	yes
Louisville	Ky	United States	23	yes
Louisville	Ky	United States	22	yes
Evansville	In	United States	20	yes
Lexington	Ky	United States	13	yes
Owensboro	Ky	United States	13	yes
Cincinnati	Oh	United States	12	yes
Columbus	In	United States	10	yes
Bloomington	In	United States	9	yes
Murfreesboro	Tn	United States	9	yes
Louisville	Ky	United States	8	yes
Holland	Mi	United States	8	yes
Greenville	Sc	United States	8	yes
Knoxville	Tn	United States	8	yes
BOWLING GREEN	Ky	United States	7	yes
Hopkinsville	Ky	United States	7	yes
BATTLE CREEK	Mi	United States	7	yes
Asheville	Nc	United States	7	yes
Charleston	Wv	United States	7	yes
Indianapolis	In	United States	6	yes
Nashville	Tn	United States	6	yes
Princeton	In	United States	5	yes
BOWLING GREEN	Ky	United States	5	yes
Henderson	Ky	United States	5	yes
Paducah	Ky	United States	5	yes
Gallipolis	Oh	United States	4	yes
GRANDVIEW HEIGHTS	Oh	United States	4	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Dec 17, 2018	$9.3B	$4.9B	1,025	384	82	n/a	n/a
2017	Nov 20, 2017	$7.6B	$3.8B	1,008	345	69	n/a	n/a
2016	Nov 21, 2016	$7.0B	$4.0B	1,040	350	n/a	n/a	n/a
2015	Oct 29, 2015	$6.2B	$3.7B	1,097	320	n/a	n/a	n/a
2014	Dec 1, 2014	$6.2B	$3.9B	1,096	349	n/a	n/a	n/a
2013	Dec 13, 2013	$5.2B	$3.2B	1,072	333	n/a	n/a	n/a
2012	Nov 19, 2012	$4.7B	$3.0B	1,042	333	n/a	n/a	n/a
2011	Dec 1, 2011	$3.7B	$2.4B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$9.3B	$7.6B	21.5%	$6.2B	14.5%	1,025	1,008	82	69

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	May 9, 2019	Apr 30, 2019	BIRMINGHAM, MI	Team lift out	RIA to ibd	0.5%
TRIAD ADVISORS, LLC	2	Apr 1, 2019	Apr 12, 2019	ANN ARBOR, MI	Team lift out	RIA to ibd	0.5%
ROBERT W. BAIRD & CO. INCORPORATED	3	Mar 29, 2019	Mar 25, 2019	MIDLAND, MI	Team lift out	RIA to RIA	0.8%
STIFEL, NICOLAUS & COMPANY, INCORPORATED	2	Mar 20, 2019	Mar 14, 2019	WINSTONSALEM, NC	Team lift out	RIA to ibd	0.5%
RAYMOND JAMES & ASSOCIATES, INC.	2	Dec 17, 2018	Dec 14, 2018	KINGSPORT, TN	Team lift out	RIA to ibd	0.5%
STIFEL, NICOLAUS & COMPANY, INCORPORATED	2	Dec 7, 2018	Dec 5, 2018	MEMPHIS, TN	Team lift out	RIA to ibd	0.5%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Sep 26, 2018	Sep 25, 2018	LEXINGTON, KY	Team lift out	RIA to ibd	0.5%
BB&T SECURITIES, LLC	2	Sep 5, 2018	Aug 31, 2018	CHARLESTON, WV	Team lift out	RIA to ibd	0.5%
CUTTER & COMPANY, INC.	2	Jun 1, 2018	Jun 2, 2018	ST PETERS, MO	Team lift out	RIA to RIA	0.5%
AMERIPRISE FINANCIAL SERVICES, LLC	2	Jan 10, 2018	Jan 4, 2018	DUBLIN, OH	Team lift out	RIA to ibd	0.5%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Dec 14, 2017	Nov 20, 2017	MARION, IL	Team lift out	Other	0.5%
AMERIPRISE FINANCIAL SERVICES, LLC	2	Nov 28, 2017	Nov 17, 2017	LOUISVILLE, KY	Team lift out	RIA to ibd	0.5%
RELIANT WEALTH PLANNING, LLC	2	Feb 10, 2017	Jan 17, 2017	LOUISVILLE, KY	Team lift out	Other	0.6%
MORGAN STANLEY	2	Jan 20, 2017	Jan 13, 2017	TERRE HAUTE, IN	Team lift out	Other	0.6%
SALING WEALTH ADVISORS	3	Apr 19, 2016	Feb 23, 2017	LOUISVILLE, KY	Team lift out	Other	0.9%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	5	Feb 18, 2016	Feb 10, 2016	FLORENCE, SC	Team lift out	Other	1.5%
WELLS FARGO ADVISORS	4	May 19, 2015	Jun 5, 2015	BATTLE CREEK, MI	Team lift out	Other	1.2%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OPPENHEIMER & CO. INC.	3	May 30, 2018	May 27, 2018	ASHEVILLE, NC	Team lift out	Ibd to RIA	0.4%
UBS FINANCIAL SERVICES INC.	2	May 30, 2018	May 18, 2018	AKRON, OH	Team lift out	Wirehouse to RIA	0.0%
PNC WEALTH MANAGEMENT	2	Jan 19, 2018	Jan 11, 2018	WASHINGTON, PA	Team lift out	Ibd to RIA	0.2%
FIFTH THIRD SECURITIES, INC.	2	Nov 16, 2016	Nov 7, 2016	NEW ALBANY, OH	Team lift out	Other	0.4%
FIFTH THIRD SECURITIES, INC.	2	Jul 13, 2016	Nov 17, 2016	COLUMBUS, OH	Team lift out	Other	0.4%

Relationships

showing 80 of 851

Controls (16)

← ALLEN, JAMES REIDOwnerCHAIRMAN OF THE BOARD, CEO, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← GRIMLEY, CHARLES MORRISONOwnerEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← SCHROEDER, MICHAEL JOHNOwnerDIRECTOR, ownership code NA, individual
Apr 12, 2019 to presentfactForm ADV
← MILLER, CARMELLA RASIOwnerCHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← CUTSINGER, CHARLES JOSEPH JR.OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Aug 7, 2017 to presentfactForm ADV
← BOOTH, STEVEN GREGORYOwnerDIRECTOR, ownership code NA, individual
Apr 12, 2019 to presentfactForm ADV
← KESSINGER, THOMAS BURKS IIIOwnerDIRECTOR, PRESIDENT, ownership code NA, individual
Jun 26, 2017 to presentfactForm ADV
← ASFAHL, DONALD LEEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← KAPLAN, ELIZABETH COwnerSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 1, 2011 to presentfactForm ADV
← WHITE, JALEIGH JEFFERSOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Feb 6, 2012 to presentfactForm ADV
← PAPACHRISTOU, NICHOLASOwnerCHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT, ownership code NA, individual
May 7, 2018 to presentfactForm ADV
← NEWMAN, ALAN HAMBURGOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Aug 7, 2017 to presentfactForm ADV
← PURCELL, PAUL EDWARDOwnerDIRECTOR, ownership code NA, individual
Apr 12, 2019 to presentfactForm ADV
← BAIRD FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Apr 12, 2019 to presentfactForm ADV
← BAIRD HOLDING COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Apr 12, 2019 to presentfactForm ADV
← HL FINANCIAL SERVICES, LLCOwnerMEMBER, ownership code E, domestic entity
Dec 1, 2011 to presentfactForm ADV

Owns (1)

← AMATO, ANTHONY NICHOLAS JROwnerPRINCIPAL OPERATIONS OFFICER, ownership code NA, individual
Apr 12, 2019 to presentfactForm ADV

Registered with (62)

← DARYL EDWARD SEVERSONAdvisorregistration: previous registration
Jul 2, 2013 to Oct 18, 2019factForm ADV
← JAMES REID ALLENAdvisorregistration: previous registration
Jun 3, 2003 to Oct 18, 2019factForm ADV
← JAMES PATRICK CLARKEAdvisorregistration: previous registration
Mar 30, 2004 to Oct 18, 2019factForm ADV
← ANDREW WILTON MEANSAdvisorregistration: previous registration
Jan 10, 2011 to Oct 18, 2019factForm ADV
← DAVID BENFIELD BURKSAdvisorregistration: previous registration
Jan 23, 2006 to Oct 18, 2019factForm ADV
← STEPHEN ALLEN EYEAdvisorregistration: previous registration
Jun 8, 2018 to Oct 18, 2019factForm ADV
← ALOYSIUS LAMBERT WILLETTAdvisorregistration: previous registration
Jan 23, 2004 to Oct 18, 2019factForm ADV
← JAMES THORNTON NORRISAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← JEFFREY GRAHAM ROBERTSAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← STEPHEN BISHOP PROVOSTAdvisorregistration: previous registration
Feb 3, 1999 to Oct 18, 2019factForm ADV
← ROBERT GERARD BERNARDINAdvisorregistration: previous registration
Oct 19, 2012 to Oct 18, 2019factForm ADV
← TRACY DIANE GANGONEAdvisorregistration: previous registration
Sep 10, 2014 to Oct 18, 2019factForm ADV
← STEPHEN MICHAEL GOLLIHERAdvisorregistration: previous registration
Mar 23, 2009 to Oct 18, 2019factForm ADV
← STEPHEN LEWIS GROSSMANAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← DANIEL JOE FOUTCHAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← DANIEL LEE KAYAdvisorregistration: previous registration
Jan 7, 2009 to Oct 18, 2019factForm ADV
← DAWN RENEE MOSCOEAdvisorregistration: previous registration
Apr 24, 2009 to Oct 18, 2019factForm ADV
← BARTLEY DUNCAN GRAVELLEAdvisorregistration: previous registration
Jan 5, 2012 to Oct 18, 2019factForm ADV
← SUSAN JANE MARSHALLAdvisorregistration: previous registration
Jan 11, 2018 to Oct 18, 2019factForm ADV
← PHILIP EARL FAULKNERAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← TERRENCE WILLIAM HOSTYAdvisorregistration: previous registration
Sep 23, 2008 to Oct 18, 2019factForm ADV
← RICHARD GREGORY HARTAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← JAMES WITTEMAN TRAPPAdvisorregistration: previous registration
Nov 17, 2016 to Oct 18, 2019factForm ADV
← HARRY VANCE LUCKEAdvisorregistration: previous registration
Jan 13, 2004 to Oct 18, 2019factForm ADV
← THEODORE BRIGHT BATESAdvisorregistration: previous registration
Dec 16, 2004 to Oct 18, 2019factForm ADV
← DONNA LOUISE RESCHAdvisorregistration: previous registration
Jan 6, 2004 to Oct 18, 2019factForm ADV
← JAMES ROBERT HENDONAdvisorregistration: previous registration
Jan 7, 2004 to Oct 18, 2019factForm ADV
← JEFFREY DELMAR GOLLIHERAdvisorregistration: previous registration
Apr 1, 2009 to Oct 18, 2019factForm ADV
← DANIEL J KEMPKERAdvisorregistration: previous registration
Oct 13, 2010 to Oct 18, 2019factForm ADV
← WAYMON REUBEN TIPTONAdvisorregistration: previous registration
Jun 25, 2018 to Oct 18, 2019factForm ADV
and 32 more

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 12, 2019
Control person joined
Paul Edward Purcell (Director) appeared on Schedule A of J.J.B. Hilliard, W.L. Lyons, Llc
Form ADVobserved 4 days ago
Occurred
Apr 12, 2019
Control person joined
Steven Gregory Booth (Director) appeared on Schedule A of J.J.B. Hilliard, W.L. Lyons, Llc
Form ADVobserved 4 days ago
Occurred
Apr 12, 2019
Control person joined
Michael John Schroeder (Director) appeared on Schedule A of J.J.B. Hilliard, W.L. Lyons, Llc
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Dec 17, 2018
J.J.B. Hilliard, W.L. Lyons, Llc reported 82 offices beyond its principal office, up from 69 (2018-09-18 to 2018-12-17)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad18de3e-ab95-b261-9949-b11c8d96f016
First observed: Dec 1, 2011
Last observed: Apr 12, 2019 90 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD 453

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ad18de3e-ab95-b261-9949-b11c8d96f016

Data as of Apr 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLEN, JAMES REID

CHAIRMAN OF THE BOARD, CEO

yes

01/2004

Dec 1, 2011

Apr 12, 2019

ASFAHL, DONALD LEE

EXECUTIVE VICE PRESIDENT

yes

12/2005

Dec 1, 2011

Apr 12, 2019

BAIRD FINANCIAL CORPORATION

Shareholder

yes

11/2018

Apr 12, 2019

BAIRD FINANCIAL GROUP, INC.

Shareholder

yes

10/2012

Apr 12, 2019

BAIRD HOLDING COMPANY

Shareholder

yes

05/2001

Apr 12, 2019

BOOTH, STEVEN GREGORY

Director

yes

04/2019

Apr 12, 2019

CUTSINGER, CHARLES JOSEPH JR.

EXECUTIVE VICE PRESIDENT

yes

07/2017

Aug 7, 2017

Apr 12, 2019

GRIMLEY, CHARLES MORRISON

EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER

yes

02/2010

Dec 1, 2011

Apr 12, 2019

HL FINANCIAL SERVICES, LLC

Member

yes

03/2008

Dec 1, 2011

Apr 12, 2019

KAPLAN, ELIZABETH C

SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

09/2005

Dec 1, 2011

Apr 12, 2019

KESSINGER, THOMAS BURKS III

DIRECTOR, PRESIDENT

yes

06/2017

Jun 26, 2017

Apr 12, 2019

MILLER, CARMELLA RASI

CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT

yes

01/2003

Dec 1, 2011

Apr 12, 2019

NEWMAN, ALAN HAMBURG

EXECUTIVE VICE PRESIDENT

yes

07/2017

Aug 7, 2017

Apr 12, 2019

PAPACHRISTOU, NICHOLAS

CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT

yes

04/2018

May 7, 2018

Apr 12, 2019

PURCELL, PAUL EDWARD

Director

yes

04/2019

Apr 12, 2019

SCHROEDER, MICHAEL JOHN

Director

yes

04/2019

Apr 12, 2019

WHITE, JALEIGH JEFFERS

EXECUTIVE VICE PRESIDENT

yes

01/2012

Feb 6, 2012

Apr 12, 2019

AMATO, ANTHONY NICHOLAS JR

PRINCIPAL OPERATIONS OFFICER

01/2019

Apr 12, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HILLIARD LYONS TRUST COMPANY, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Lexington

United States

yes

Louisville

United States

yes

Louisville

United States

yes

Evansville

United States

yes

Lexington

United States

yes

Owensboro

United States

yes

Cincinnati

United States

yes

Columbus

United States

yes

Bloomington

United States

yes

Murfreesboro

United States

yes

Louisville

United States

yes

Holland

United States

yes

Greenville

United States

yes

Knoxville

United States

yes

BOWLING GREEN

United States

yes

Hopkinsville

United States

yes

BATTLE CREEK

United States

yes

Asheville

United States

yes

Charleston

United States

yes

Indianapolis

United States

yes

Nashville

United States

yes

Princeton

United States

yes

BOWLING GREEN

United States

yes

Henderson

United States

yes

Paducah

United States

yes

Gallipolis

United States

yes

GRANDVIEW HEIGHTS

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Dec 17, 2018

$9.3B

$4.9B

1,025

384

n/a

2017

Nov 20, 2017

$7.6B

$3.8B

1,008

345

n/a

2016

Nov 21, 2016

$7.0B

$4.0B

1,040

350

n/a

2015

Oct 29, 2015

$6.2B

$3.7B

1,097

320

n/a

2014

Dec 1, 2014

$6.2B

$3.9B

1,096

349

n/a

2013

Dec 13, 2013

$5.2B

$3.2B

1,072

333

n/a

2012

Nov 19, 2012

$4.7B

$3.0B

1,042

333

n/a

2011

Dec 1, 2011

$3.7B

$2.4B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$9.3B

$7.6B

21.5%

$6.2B

14.5%

1,025

1,008

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

May 9, 2019

Apr 30, 2019

BIRMINGHAM, MI

Team lift out

RIA to ibd

0.5%

TRIAD ADVISORS, LLC

Apr 1, 2019

Apr 12, 2019

ANN ARBOR, MI

Team lift out

RIA to ibd

0.5%

ROBERT W. BAIRD & CO. INCORPORATED

Mar 29, 2019

Mar 25, 2019

MIDLAND, MI

Team lift out

RIA to RIA

0.8%

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Mar 20, 2019

Mar 14, 2019

WINSTONSALEM, NC

Team lift out

RIA to ibd

0.5%

RAYMOND JAMES & ASSOCIATES, INC.

Dec 17, 2018

Dec 14, 2018

KINGSPORT, TN

Team lift out

RIA to ibd

0.5%

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Dec 7, 2018

Dec 5, 2018

MEMPHIS, TN

Team lift out

RIA to ibd

0.5%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Sep 26, 2018

Sep 25, 2018

LEXINGTON, KY

Team lift out

RIA to ibd

0.5%

BB&T SECURITIES, LLC

Sep 5, 2018

Aug 31, 2018

CHARLESTON, WV

Team lift out

RIA to ibd

0.5%

CUTTER & COMPANY, INC.

Jun 1, 2018

Jun 2, 2018

ST PETERS, MO

Team lift out

RIA to RIA

0.5%

AMERIPRISE FINANCIAL SERVICES, LLC

Jan 10, 2018

Jan 4, 2018

DUBLIN, OH

Team lift out

RIA to ibd

0.5%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Dec 14, 2017

Nov 20, 2017

MARION, IL

Team lift out

Other

0.5%

AMERIPRISE FINANCIAL SERVICES, LLC

Nov 28, 2017

Nov 17, 2017

LOUISVILLE, KY

Team lift out

RIA to ibd

0.5%

RELIANT WEALTH PLANNING, LLC

Feb 10, 2017

Jan 17, 2017

LOUISVILLE, KY

Team lift out

Other

0.6%

MORGAN STANLEY

Jan 20, 2017

Jan 13, 2017

TERRE HAUTE, IN

Team lift out

Other

0.6%

SALING WEALTH ADVISORS

Apr 19, 2016

Feb 23, 2017

LOUISVILLE, KY

Team lift out

Other

0.9%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Feb 18, 2016

Feb 10, 2016

FLORENCE, SC

Team lift out

Other

1.5%

WELLS FARGO ADVISORS

May 19, 2015

Jun 5, 2015

BATTLE CREEK, MI

Team lift out

Other

1.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OPPENHEIMER & CO. INC.

May 30, 2018

May 27, 2018

ASHEVILLE, NC

Team lift out

Ibd to RIA

0.4%

UBS FINANCIAL SERVICES INC.

May 30, 2018

May 18, 2018

AKRON, OH

Team lift out

Wirehouse to RIA

0.0%

PNC WEALTH MANAGEMENT

Jan 19, 2018

Jan 11, 2018

WASHINGTON, PA

Team lift out

Ibd to RIA

0.2%

FIFTH THIRD SECURITIES, INC.

Nov 16, 2016

Nov 7, 2016

NEW ALBANY, OH

Team lift out

Other

0.4%

FIFTH THIRD SECURITIES, INC.

Jul 13, 2016

Nov 17, 2016

COLUMBUS, OH

Team lift out

Other

0.4%