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.
Feed of 09/14/2026
At current firm
7 y
since Jul 26, 2019
In the industry
46 y
since Jun 19, 1980 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Wells Fargo Advisors wirehouse currentsince Jul 26, 2019 · Chicago, Il
- Stifel, Nicolaus & Company, Incorporated national BDMar 16, 2018 to Aug 7, 2019 · Chicago, Il
- B. C. Ziegler And Company formerAug 31, 2012 to Mar 16, 2018 · Rockford, Il
- RBC Capital Markets, LLC national BDJul 1, 2008 to Sep 13, 2012 · Chicago, Il
- Oppenheimer Asset Management BD affiliatedApr 15, 2003 to Nov 12, 2007 · New York, Ny
- Oppenheimer & Co. Inc. BD affiliatedJan 3, 2003 to Jul 2, 2008 · Chicago, Il
- Cibc World Markets Corp. unclassifiedAug 21, 1998 to Jan 3, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Wells Fargo Advisorsleft Aug 7, 2019, registered Jul 26, 2019 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- B. C. Ziegler And Company to Stifel, Nicolaus & Company, Incorporatedleft Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
- RBC Capital Markets, LLC to B. C. Ziegler And Companyleft Sep 13, 2012, registered Aug 31, 2012 (-13 days) · Other
- Oppenheimer & Co. Inc. to Oppenheimer Asset Managementleft Jul 2, 2008, registered Apr 15, 2003 (-1905 days) · Other
- Oppenheimer Asset Management to RBC Capital Markets, LLCleft Nov 12, 2007, registered Jul 1, 2008 (232 days) · Other
- Cibc World Markets Corp. to Oppenheimer & Co. Inc.left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address