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

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE INVESTMENT MANAGEMENT, INC., CRD 169988

SAINT LOUIS, MO

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:cd98561e-8701-3aa8-ecb8-886d6a6eec44

Data as of Apr 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1,061
Dated events: 1
On other graphs: 0
Observed: Feb 10, 2014 to Apr 9, 2018
25 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: $2.3BItem 5.F on the latest filing (2018-04-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.3B
Private client RAUM: $2.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 300
Advisory employees: 190
Offices: 55Schedule D 1.F, beyond the principal office
Accounts: 20,396
Individual clients: 13,050
High net worth clients: 4,050
SEC number: 801-79217
CRD: 169988
Filings on the tape: 25
First filed: Feb 10, 2014
Latest filed: Apr 9, 2018
Organised: Corporation, Delaware

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
BELL, JOHN	CHIEF OPERATING OFFICER, PRESIDENT	Na	yes	09/2017	Sep 22, 2017	Apr 9, 2018
BOYLE, STEPHEN, JOHN	CHIEF FINANCIAL OFFICER	Na	yes	09/2017	Sep 22, 2017	Apr 9, 2018
DESILVA, PETER, JAMES	Director	Na	yes	06/2016	Mar 4, 2016	Apr 9, 2018
JUDGE, MATTHEW, THOMAS	VICE PRESIDENT	Na	yes	09/2017	Sep 22, 2017	Apr 9, 2018
KIMM, DAVID, ROBERT	CHIEF RISK OFFICER	Na	yes	09/2017	Sep 22, 2017	Apr 9, 2018
OTT, GILBERT, RUSSELL	Secretary	Na	yes	09/2017	Sep 22, 2017	Apr 9, 2018
TD AMERITRADE HOLDING CORPORATION	PARENT CORPORATION	E	yes	09/2017	Sep 22, 2017	Apr 9, 2018
TD AMERITRADE HOLDINGS CORP.	Owner	E	yes	09/2017	Sep 22, 2017	Apr 9, 2018
YATES, WILLIAM, THOMAS	Treasurer	Na	yes	09/2017	Sep 22, 2017	Apr 9, 2018
ZIGAITIS, KELLY, MOSS	CHIEF COMPLIANCE OFFICER	Na	yes	10/2013	Feb 10, 2014	Apr 9, 2018

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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	n/a	Former SEC adviser	$16B	N	yes	n/a
SCOTTRADE, INC.	n/a	n/a	n/a	N	yes	Mo
TD AMERITRADE CLEARING, INC.	n/a	n/a	n/a	N	yes	n/a
TD AMERITRADE FUTURES AND FOREX, LLC	n/a	n/a	n/a	N	yes	n/a
TD AMERITRADE TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
TD AMERITRADE, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
TD BANK, N.A.	n/a	n/a	n/a	N	no	n/a
THE INSURANCE AGENCY OF TD AMERITRADE, LLC	n/a	n/a	n/a	N	yes	n/a
TRADEWISE ADVISORS, INC.	n/a	Former SEC adviser	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
SAINT LOUIS	Mo	United States	5	no
Plano	TX	United States	5	no
Westminster	Co	United States	4	no
Bloomington	Mn	United States	4	no
ST. LOUIS	Mo	United States	3	no

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
2017	Nov 17, 2017	$2.3B	$2.3B	300	190	55	n/a	n/a
2016	Nov 17, 2016	$1.3B	$1.3B	299	95	n/a	n/a	n/a
2015	Nov 16, 2015	$584M	$584M	46	24	n/a	n/a	n/a
2014	Nov 21, 2014	$118M	$118M	33	25	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
2017	$2.3B	$1.3B	81.7%	$118M	169.1%	300	299	55	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 67

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TD AMERITRADE, INC.	2	Jun 20, 2018	Jan 4, 2018	SAINT LOUIS, MO	Channel change	Other	100.0%
EDWARD JONES	2	Apr 2, 2018	Jul 3, 2019	SAINT LOUIS, MO	Team lift out	Ibd to ibd	6.9%
TD AMERITRADE, INC.	5	Mar 24, 2018	Apr 7, 2018	WESTMINSTER, CO	Channel change	Other	11.1%
TD AMERITRADE, INC.	2	Mar 24, 2018	Mar 19, 2018	ORLANDO, FL	Channel change	Other	4.4%
SAXONY CAPITAL MANAGEMENT, LLC	3	Mar 9, 2018	Jan 23, 2019	SAINT LOUIS, MO	Team lift out	Ibd to RIA	1.9%
VOYA FINANCIAL ADVISORS, INC.	2	Mar 9, 2018	Nov 12, 2019	SAINT LOUIS, MO	Team lift out	Other	1.3%
CHARLES SCHWAB & CO., INC.	2	Mar 9, 2018	Jun 12, 2018	WESTMINSTER, CO	Team lift out	Ibd to ibd	1.3%
CITIGROUP GLOBAL MARKETS INC.	2	Mar 9, 2018	Sep 27, 2019	SAINT LOUIS, MO	Team lift out	Ibd to ibd	1.3%
CETERA INVESTMENT ADVISERS LLC	4	Mar 8, 2018	Jun 29, 2023	SAINT LOUIS, MO	Team lift out	Other	1.4%
TRANSAMERICA RETIREMENT ADVISORS, LLC	3	Mar 8, 2018	May 30, 2018	SARASOTA, FL	Team lift out	Other	1.1%
CORDA INVESTMENT MANAGEMENT, LLC	2	Mar 8, 2018	Feb 28, 2019	SAINT LOUIS, MO	Team lift out	Ibd to RIA	0.7%
EMPOWER ADVISORY GROUP, LLC	3	Mar 8, 2018	Jun 21, 2018	SAINT LOUIS, MO	Team lift out	Other	1.1%
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Mar 8, 2018	Apr 8, 2019	SAINT LOUIS, MO	Team lift out	Ibd to ibd	0.7%
MORGAN STANLEY	4	Mar 8, 2018	Mar 5, 2020	SAINT LOUIS, MO	Team lift out	Ibd to wirehouse	1.4%
FIDELITY PERSONAL AND WORKPLACE ADVISORS	3	Mar 8, 2018	Jan 6, 2020	SAINT LOUIS, MO	Team lift out	Ibd to new firm	1.1%
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	2	Mar 8, 2018	Jan 28, 2019	SAINT LOUIS, MO	Team lift out	Ibd to ibd	0.7%
RBC CAPITAL MARKETS, LLC	3	Mar 8, 2018	Nov 21, 2018	SAINT LOUIS, MO	Team lift out	Ibd to ibd	1.1%
VALIC FINANCIAL ADVISORS, INC.	2	Mar 8, 2018	Mar 10, 2026	SAINT LOUIS, MO	Team lift out	Other	0.7%
FIFTH THIRD SECURITIES, INC.	2	Mar 8, 2018	May 23, 2018	SAINT LOUIS, MO	Team lift out	Ibd to ibd	0.7%
AMERIPRISE FINANCIAL SERVICES, LLC	8	Mar 8, 2018	Mar 2, 2020	SAINT LOUIS, MO	Team lift out	Ibd to ibd	2.9%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
STRATEGIC ADVISERS LLC	2	Jun 13, 2017	Jul 3, 2017	COVINGTON, KY	Team lift out	Other	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Apr 17, 2017	Jun 13, 2017	JACKSONVILLE, FL	Team lift out	Other	0.0%
STRATEGIC ADVISERS LLC	2	Nov 2, 2016	Apr 4, 2017	MERRIMACK, NH	Team lift out	Other	0.0%
WELLS FARGO ADVISORS	5	Sep 29, 2016	Jun 9, 2017	ST LOUIS, MO	Team lift out	Other	0.0%
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	2	Sep 26, 2016	Jan 27, 2017	ENCINO, CA	Team lift out	Other	0.2%
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	2	Sep 7, 2016	Jan 27, 2017	PLANO, TX	Team lift out	Other	0.2%
TD AMERITRADE, INC.	2	Apr 15, 2016	Jan 25, 2017	FORT WORTH, TX	Team lift out	Other	0.2%
WELLS FARGO ADVISORS	2	Mar 21, 2016	Jan 25, 2017	ST LOUIS, MO	Team lift out	Other	0.0%
TD AMERITRADE, INC.	2	Feb 25, 2015	Jan 19, 2017	WESTLAKE, TX	Team lift out	Other	0.2%

Relationships

showing 80 of 1,061

Affiliated with (3)

→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ TRADEWISE ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ TD AMERITRADE, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (10)

← DESILVA, PETER, JAMESOwnerDIRECTOR, ownership code NA, individual
Mar 4, 2016 to presentfactForm ADV
← YATES, WILLIAM, THOMASOwnerTREASURER, ownership code NA, individual
Sep 22, 2017 to presentfactForm ADV
← JUDGE, MATTHEW, THOMASOwnerVICE PRESIDENT, ownership code NA, individual
Sep 22, 2017 to presentfactForm ADV
← BELL, JOHNOwnerCHIEF OPERATING OFFICER, PRESIDENT, ownership code NA, individual
Sep 22, 2017 to presentfactForm ADV
← ZIGAITIS, KELLY, MOSSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 10, 2014 to presentfactForm ADV
← BOYLE, STEPHEN, JOHNOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 22, 2017 to presentfactForm ADV
← KIMM, DAVID, ROBERTOwnerCHIEF RISK OFFICER, ownership code NA, individual
Sep 22, 2017 to presentfactForm ADV
← OTT, GILBERT, RUSSELLOwnerSECRETARY, ownership code NA, individual
Sep 22, 2017 to presentfactForm ADV
← TD AMERITRADE HOLDING CORPORATIONOwnerPARENT CORPORATION, ownership code E, domestic entity
Sep 22, 2017 to presentfactForm ADV
← TD AMERITRADE HOLDINGS CORP.OwnerOWNER, ownership code E, domestic entity
Sep 22, 2017 to presentfactForm ADV

Moved with (42)

→ VALIC FINANCIAL ADVISORS, INC.Registered adviser2 advisors, team lift out
Mar 8, 2018 to Mar 10, 2026factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviser2 advisors, team lift out
Mar 7, 2018 to Oct 1, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviser5 advisors, team lift out
Mar 7, 2018 to Jan 1, 2025factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviser4 advisors, team lift out
Mar 8, 2018 to Jun 29, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser21 advisors, team lift out
Mar 7, 2018 to May 24, 2023factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviser11 advisors, team lift out
Mar 7, 2018 to May 1, 2023factForm ADV
→ AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.Registered adviser2 advisors, team lift out, same day
Mar 7, 2018 to Apr 24, 2023factForm ADV
→ FISHER INVESTMENTSRegistered adviser5 advisors, team lift out
Mar 7, 2018 to Dec 10, 2022factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviser7 advisors, team lift out
Mar 7, 2018 to Aug 9, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviser2 advisors, team lift out
Mar 7, 2018 to Oct 26, 2021factForm ADV
→ MORGAN STANLEYRegistered adviser4 advisors, team lift out
Mar 8, 2018 to Mar 5, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviser8 advisors, team lift out
Mar 8, 2018 to Mar 2, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviser43 advisors, team lift out
Jan 31, 2018 to Jan 17, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviser12 advisors, team lift out
Mar 7, 2018 to Jan 13, 2020factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviser3 advisors, team lift out
Mar 8, 2018 to Jan 6, 2020factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviser19 advisors, team lift out
Mar 7, 2018 to Nov 27, 2019factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Mar 9, 2018 to Nov 12, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviser11 advisors, team lift out
Mar 7, 2018 to Nov 6, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviser2 advisors, team lift out, same day
Mar 9, 2018 to Sep 27, 2019factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Mar 7, 2018 to Jul 12, 2019factForm ADV
→ EDWARD JONESRegistered adviser2 advisors, team lift out, same day
Apr 2, 2018 to Jul 3, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser2 advisors, team lift out
Mar 8, 2018 to Apr 8, 2019factForm ADV
→ CORDA INVESTMENT MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Mar 8, 2018 to Feb 28, 2019factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviser2 advisors, team lift out
Mar 7, 2018 to Feb 13, 2019factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviser4 advisors, team lift out
Mar 7, 2018 to Feb 5, 2019factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviser2 advisors, team lift out, same day
Mar 8, 2018 to Jan 31, 2019factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviser2 advisors, team lift out, same day
Mar 8, 2018 to Jan 28, 2019factForm ADV
→ SAXONY CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, team lift out, same day
Mar 9, 2018 to Jan 23, 2019factForm ADV
→ RFG ADVISORY, LLCRegistered adviser2 advisors, team lift out
Mar 7, 2018 to Dec 20, 2018factForm ADV
→ WADDELL & REEDRegistered adviser3 advisors, team lift out
Mar 8, 2018 to Nov 29, 2018factForm ADV
and 12 more

Registered with (16)

← MARY JANE FERRYAdvisorregistration: previous registration
Sep 1, 2017 to Jun 20, 2018factForm ADV
← STACEY LYNN EASTAdvisorregistration: previous registration
Feb 8, 2016 to Jun 20, 2018factForm ADV
← CHRISTOPHER MARK BEAUDRYAdvisorregistration: previous registration
May 12, 2017 to Apr 27, 2018factForm ADV
← Mark Anthony ClardyAdvisorregistration: previous registration
Sep 9, 2016 to Apr 7, 2018factForm ADV
← JAMES GANSNERAdvisorregistration: previous registration
Jan 15, 2015 to Apr 7, 2018factForm ADV
← Andrew J WagnaarAdvisorregistration: previous registration
Apr 30, 2015 to Apr 7, 2018factForm ADV
← MICHAEL STEVEN BACHAdvisorregistration: previous registration
May 27, 2014 to Apr 7, 2018factForm ADV
← ADAM GARRETT COHENAdvisorregistration: previous registration
Jan 19, 2017 to Apr 7, 2018factForm ADV
← TIFFANY Elizabeth CLARKAdvisorregistration: previous registration
Apr 14, 2015 to Apr 7, 2018factForm ADV
← Margarita GonzalezAdvisorregistration: previous registration
Jan 20, 2016 to Apr 7, 2018factForm ADV
← PHILIP CHRISTOPHER LEEAdvisorregistration: previous registration
Mar 11, 2016 to Apr 7, 2018factForm ADV
← BRENDAN JOE SUMMARYAdvisorregistration: previous registration
Apr 5, 2017 to Apr 7, 2018factForm ADV
← Danita Louise MahlerAdvisorregistration: previous registration
Apr 3, 2017 to Apr 7, 2018factForm ADV
← JONATHAN ALFRED GRIEGOAdvisorregistration: previous registration
Mar 17, 2017 to Apr 7, 2018factForm ADV
← Michael HermannAdvisorregistration: previous registration
Nov 3, 2014 to Apr 7, 2018factForm ADV
← NICOLE MARTHA SPIKERAdvisorregistration: previous registration
Jun 9, 2017 to Apr 7, 2018factForm ADV

Dated events

Occurred
Feb 10, 2014
First Form ADV filing
Scottrade Investment Management, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd98561e-8701-3aa8-ecb8-886d6a6eec44
First observed: Feb 10, 2014
Last observed: Apr 9, 2018 102 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.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE INVESTMENT MANAGEMENT, INC., CRD 169988

SAINT LOUIS, MO

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:cd98561e-8701-3aa8-ecb8-886d6a6eec44

Data as of Apr 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BELL, JOHN

CHIEF OPERATING OFFICER, PRESIDENT

yes

09/2017

Sep 22, 2017

Apr 9, 2018

BOYLE, STEPHEN, JOHN

CHIEF FINANCIAL OFFICER

yes

09/2017

Sep 22, 2017

Apr 9, 2018

DESILVA, PETER, JAMES

Director

yes

06/2016

Mar 4, 2016

Apr 9, 2018

JUDGE, MATTHEW, THOMAS

VICE PRESIDENT

yes

09/2017

Sep 22, 2017

Apr 9, 2018

KIMM, DAVID, ROBERT

CHIEF RISK OFFICER

yes

09/2017

Sep 22, 2017

Apr 9, 2018

OTT, GILBERT, RUSSELL

Secretary

yes

09/2017

Sep 22, 2017

Apr 9, 2018

TD AMERITRADE HOLDING CORPORATION

PARENT CORPORATION

yes

09/2017

Sep 22, 2017

Apr 9, 2018

TD AMERITRADE HOLDINGS CORP.

Owner

yes

09/2017

Sep 22, 2017

Apr 9, 2018

YATES, WILLIAM, THOMAS

Treasurer

yes

09/2017

Sep 22, 2017

Apr 9, 2018

ZIGAITIS, KELLY, MOSS

CHIEF COMPLIANCE OFFICER

yes

10/2013

Feb 10, 2014

Apr 9, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

n/a

Former SEC adviser

$16B

yes

n/a

SCOTTRADE, INC.

n/a

yes

TD AMERITRADE CLEARING, INC.

n/a

yes

n/a

TD AMERITRADE FUTURES AND FOREX, LLC

n/a

yes

n/a

TD AMERITRADE TRUST COMPANY

n/a

yes

n/a

TD AMERITRADE, INC.

n/a

Former SEC adviser

n/a

yes

n/a

TD BANK, N.A.

n/a

THE INSURANCE AGENCY OF TD AMERITRADE, LLC

n/a

yes

n/a

TRADEWISE ADVISORS, INC.

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAINT LOUIS

United States

Plano

United States

Westminster

United States

Bloomington

United States

ST. LOUIS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Nov 17, 2017

$2.3B

300

190

n/a

2016

Nov 17, 2016

$1.3B

299

n/a

2015

Nov 16, 2015

$584M

n/a

2014

Nov 21, 2014

$118M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$2.3B

$1.3B

81.7%

$118M

169.1%

300

299

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TD AMERITRADE, INC.

Jun 20, 2018

Jan 4, 2018

SAINT LOUIS, MO

Channel change

Other

100.0%

EDWARD JONES

Apr 2, 2018

Jul 3, 2019

SAINT LOUIS, MO

Team lift out

Ibd to ibd

6.9%

TD AMERITRADE, INC.

Mar 24, 2018

Apr 7, 2018

WESTMINSTER, CO

Channel change

Other

11.1%

TD AMERITRADE, INC.

Mar 24, 2018

Mar 19, 2018

ORLANDO, FL

Channel change

Other

4.4%

SAXONY CAPITAL MANAGEMENT, LLC

Mar 9, 2018

Jan 23, 2019

SAINT LOUIS, MO

Team lift out

Ibd to RIA

1.9%

VOYA FINANCIAL ADVISORS, INC.

Mar 9, 2018

Nov 12, 2019

SAINT LOUIS, MO

Team lift out

Other

1.3%

CHARLES SCHWAB & CO., INC.

Mar 9, 2018

Jun 12, 2018

WESTMINSTER, CO

Team lift out

Ibd to ibd

1.3%

CITIGROUP GLOBAL MARKETS INC.

Mar 9, 2018

Sep 27, 2019

SAINT LOUIS, MO

Team lift out

Ibd to ibd

1.3%

CETERA INVESTMENT ADVISERS LLC

Mar 8, 2018

Jun 29, 2023

SAINT LOUIS, MO

Team lift out

Other

1.4%

TRANSAMERICA RETIREMENT ADVISORS, LLC

Mar 8, 2018

May 30, 2018

SARASOTA, FL

Team lift out

Other

1.1%

CORDA INVESTMENT MANAGEMENT, LLC

Mar 8, 2018

Feb 28, 2019

SAINT LOUIS, MO

Team lift out

Ibd to RIA

0.7%

EMPOWER ADVISORY GROUP, LLC

Mar 8, 2018

Jun 21, 2018

SAINT LOUIS, MO

Team lift out

Other

1.1%

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Mar 8, 2018

Apr 8, 2019

SAINT LOUIS, MO

Team lift out

Ibd to ibd

0.7%

MORGAN STANLEY

Mar 8, 2018

Mar 5, 2020

SAINT LOUIS, MO

Team lift out

Ibd to wirehouse

1.4%

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Mar 8, 2018

Jan 6, 2020

SAINT LOUIS, MO

Team lift out

Ibd to new firm

1.1%

BANCWEST INVESTMENT SERVICES, INC. (BWIS)

Mar 8, 2018

Jan 28, 2019

SAINT LOUIS, MO

Team lift out

Ibd to ibd

0.7%

RBC CAPITAL MARKETS, LLC

Mar 8, 2018

Nov 21, 2018

SAINT LOUIS, MO

Team lift out

Ibd to ibd

1.1%

VALIC FINANCIAL ADVISORS, INC.

Mar 8, 2018

Mar 10, 2026

SAINT LOUIS, MO

Team lift out

Other

0.7%

FIFTH THIRD SECURITIES, INC.

Mar 8, 2018

May 23, 2018

SAINT LOUIS, MO

Team lift out

Ibd to ibd

0.7%

AMERIPRISE FINANCIAL SERVICES, LLC

Mar 8, 2018

Mar 2, 2020

SAINT LOUIS, MO

Team lift out

Ibd to ibd

2.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

STRATEGIC ADVISERS LLC

Jun 13, 2017

Jul 3, 2017

COVINGTON, KY

Team lift out

Other

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 17, 2017

Jun 13, 2017

JACKSONVILLE, FL

Team lift out

Other

0.0%

STRATEGIC ADVISERS LLC

Nov 2, 2016

Apr 4, 2017

MERRIMACK, NH

Team lift out

Other

0.0%

WELLS FARGO ADVISORS

Sep 29, 2016

Jun 9, 2017

ST LOUIS, MO

Team lift out

Other

0.0%

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

Sep 26, 2016

Jan 27, 2017

ENCINO, CA

Team lift out

Other

0.2%

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

Sep 7, 2016

Jan 27, 2017

PLANO, TX

Team lift out

Other

0.2%

TD AMERITRADE, INC.

Apr 15, 2016

Jan 25, 2017

FORT WORTH, TX

Team lift out

Other

0.2%

WELLS FARGO ADVISORS

Mar 21, 2016

Jan 25, 2017

ST LOUIS, MO

Team lift out

Other

0.0%

TD AMERITRADE, INC.

Feb 25, 2015

Jan 19, 2017

WESTLAKE, TX

Team lift out

Other

0.2%