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

Departures from Sterne Agee Asset Management, 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
Candice Adkinson Burton Parker	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Dec 31, 2017	Mar 29, 2016
Rachael Pintaric Thomas	Sterne Agee Asset Management, Inc. other	Highland Associates Inc other	Other	Jul 11, 2016	Dec 5, 2016 (147 d)
Jesse Gordon Parks	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 1, 2016
Millard Bland Morrison	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 1, 2016
David William Allen	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 1, 2016
Beverly Greene Surles	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 5, 2016
Shane Jason Neal	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 1, 2016
Andrew Dixon Wade	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 5, 2016
Bradley Allan Brown	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. other	Other	Jul 5, 2016	Jul 5, 2016
Chesley R Allegri	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Jun 30, 2016	Oct 17, 2018 (839 d)
Anthony J Seifert	Sterne Agee Asset Management, Inc. other	360 Financial Partners, LLC independent RIA	Other	Jun 16, 2016	Feb 25, 2016
Jason William Reed	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Apr 6, 2016	Apr 6, 2016
Elizabeth Anderson	Sterne Agee Asset Management, Inc. other	Edward Jones national BD	Other	Mar 31, 2016	Apr 11, 2016
Victoria Ann Hale	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Mar 31, 2016	Jul 23, 2015
Andrew Louis Toshie	Sterne Agee Asset Management, Inc. other	Prospera Financial Services, Inc. other	Other	Jan 26, 2016	Feb 1, 2016
Cindy Ball Toshie	Sterne Agee Asset Management, Inc. other	Prospera Financial Services, Inc. other	Other	Jan 26, 2016	Feb 1, 2016
Jack Gilbert Russell	Sterne Agee Asset Management, Inc. other	Capital Investment Advisory Services, LLC other	Other	Jan 20, 2016	May 13, 2016 (114 d)
Gary Lane Glover	Sterne Agee Asset Management, Inc. other	Concorde Asset Management, LLC other	Other	Jan 12, 2016	Jan 13, 2016
Joseph Scott Hudock	Sterne Agee Asset Management, Inc. other	Stonex Advisors Inc. BD affiliated	Other	Jan 11, 2016	Jun 29, 2018 (900 d)
Harold Blaine Miller	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Dec 28, 2015	Jul 8, 2015
Matthew Alan Mckay	Sterne Agee Asset Management, Inc. other	Mckay Wealth Management Group LLC state registered	Other	Dec 14, 2015	Dec 15, 2015
Robert Taylor Hammons	Sterne Agee Asset Management, Inc. other	Osaic Wealth, Inc. other	Other	Nov 3, 2015	Feb 24, 2016 (113 d)
Rodney Martin Hager	Sterne Agee Asset Management, Inc. other	Synergy Investment Group, LLC other	Other	Oct 20, 2015	Oct 21, 2015
Miller S Kreider	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Sep 22, 2015	Jul 8, 2015
Chad Mitchell Koehn	Sterne Agee Asset Management, Inc. other	United Capital Management Of Kansas, Inc. other	Other	Sep 9, 2015	Jan 20, 2012
Christopher Michael Giroux	Sterne Agee Asset Management, Inc. other	United Capital Management Of Kansas, Inc. other	Other	Sep 9, 2015	Jan 20, 2012
Ryan Jay Kolzow	Sterne Agee Asset Management, Inc. other	United Capital Management Of Kansas, Inc. other	Other	Sep 9, 2015	Jan 20, 2012
Levi Kenneth Huncovsky	Sterne Agee Asset Management, Inc. other	United Capital Management Of Kansas, Inc. other	Other	Sep 9, 2015	Jul 2, 2013
Jacob Bradley Marrs	Sterne Agee Asset Management, Inc. other	United Capital Management Of Kansas, Inc. other	Other	Sep 3, 2015	Aug 18, 2015
Derek Edward Jerger	Sterne Agee Asset Management, Inc. other	Cetera Investment Advisers LLC other	Other	Sep 2, 2015	Sep 11, 2015
Ashley Summers Tabb	Sterne Agee Asset Management, Inc. other	1919 Investment Counsel, LLC other	Other	Sep 2, 2015	Sep 17, 2015
Kristina Adelaide Palangi	Sterne Agee Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 13, 2015	Aug 6, 2015
William Stephens Lamb	Sterne Agee Asset Management, Inc. other	Raymond James & Associates, Inc. national BD	Other	Jun 24, 2015	Jun 25, 2015
Kenneth Michael Peavy	Sterne Agee Asset Management, Inc. other	LPL Financial LLC other	Other	Jun 10, 2015	Jun 4, 2015
Stephen Alan Martin	Sterne Agee Asset Management, Inc. other	Valic Financial Advisors, Inc. other	Other	Mar 30, 2015	Jun 10, 2015 (72 d)
Samuel Drayton Haskell	Sterne Agee Asset Management, Inc. other	Jhh Wealth, LLC other	Other	Mar 18, 2015	Jul 21, 2016 (491 d)
Arthur Roy Mcpherson	Sterne Agee Asset Management, Inc. other	Triumph Wealth Advisors, Inc. other	Other	Nov 13, 2014	Aug 14, 2015 (274 d)
Michael John Mccay	Sterne Agee Asset Management, Inc. other	Questar Asset Management, Inc. other	Other	Oct 14, 2014	Oct 15, 2014
Phillip Wayne Gann	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Oct 13, 2014	Oct 27, 2014
Charles Mitchell Smith	Sterne Agee Asset Management, Inc. other	Bhk Securities, LLC other	Other	Sep 15, 2014	Aug 19, 2014
Nicholas Greene Denicke	Sterne Agee Asset Management, Inc. other	Bok Financial Advisors other	Other	Aug 25, 2014	Sep 2, 2014
Thomas Patrick Cox	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Aug 15, 2014	Oct 2, 2015 (413 d)
Stanford Hastings Roberts	Sterne Agee Asset Management, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Aug 11, 2014	Aug 11, 2014
Evan Clifford Dorman	Sterne Agee Asset Management, Inc. other	Synovus Securities, Inc. other	Other	Jul 9, 2014	Jul 7, 2014
Robert B Sutton	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Jun 19, 2014	Jun 11, 2014
Wheelock Richard Bingham	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Jun 19, 2014	Jun 10, 2014
Ryan M Weiss	Sterne Agee Asset Management, Inc. other	Northwestern Mutual Investment Services,LLC other	Other	Jun 11, 2014	Oct 10, 2014 (121 d)
Daniel Spiegel	Sterne Agee Asset Management, Inc. other	Vcp Financial LLC independent RIA	Other	Jun 10, 2014	Jan 18, 2017 (953 d)
Gaurav Chand Lall	Sterne Agee Asset Management, Inc. other	Vcp Financial LLC independent RIA	Other	Jun 10, 2014	Jan 18, 2017 (953 d)
Judson Alan Smith	Sterne Agee Asset Management, Inc. other	Pmd Advisory mixed wealth	Other	May 30, 2014	Jun 6, 2013
N. David Hoover	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	May 30, 2014	May 28, 2014
Justin Trevor Adams	Sterne Agee Asset Management, Inc. other	Raymond James & Associates, Inc. national BD	Other	May 30, 2014	May 27, 2014
Eugene James Yelverton	Sterne Agee Asset Management, Inc. other	LPL Financial LLC other	Other	May 19, 2014	May 8, 2014
James Allen Burt	Sterne Agee Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	May 19, 2014	Jun 3, 2014
Kristi M Trowbridge	Sterne Agee Asset Management, Inc. other	Securities America Advisors, Inc. other	Other	May 7, 2014	May 1, 2014
Sara Marie Jones	Sterne Agee Asset Management, Inc. other	Fifth Third Securities, Inc. other	Other	Apr 8, 2014	Jun 1, 2015 (419 d)
Kerry Leigh Mellott	Sterne Agee Asset Management, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Apr 3, 2014	Oct 23, 2014 (203 d)
Dania Fitzgerald Tanguis	Sterne Agee Asset Management, Inc. other	Peters Wealth Advisors LLC other	Other	Mar 21, 2014	Oct 8, 2014 (201 d)
Robert David Wallace	Sterne Agee Asset Management, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Feb 7, 2014	Jan 15, 2014
James Allen Tolbert	Sterne Agee Asset Management, Inc. other	B Riley Wealth Management other	Other	Jan 27, 2014	Jan 22, 2014

Page 1 of 3Next

157 moves match.