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
Marc J Cabraja	Sterne Agee Asset Management, Inc. other	Duncan-Williams, Inc. other	Other	Oct 31, 2013	Apr 3, 2014 (154 d)
Philip Dunwoody Cox	Sterne Agee Asset Management, Inc. other	Bluestone Wealth Planning, LLC state registered	Other	Oct 23, 2013	Oct 31, 2013
Daniel Swift Edmunds	Sterne Agee Asset Management, Inc. other	B Riley Wealth Management other	Other	Oct 16, 2013	Oct 7, 2013
Deborah Lopez Eagen	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Oct 14, 2013	Oct 1, 2013
Carol Kelley Harrison	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Oct 14, 2013	Oct 15, 2013
Irene L Robertson	Sterne Agee Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Sep 23, 2013	Jun 11, 2014 (261 d)
Donald Lee Ledford	Sterne Agee Asset Management, Inc. other	Bb&T Investment Services, Inc. no RAUM	Other	Sep 12, 2013	Sep 9, 2013
Farra Mcrae Alford	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Aug 28, 2013	Aug 19, 2013
Thomas Anthony Ruggiero	Sterne Agee Asset Management, Inc. other	Ruggiero Investments independent RIA	Other	Aug 16, 2013	Nov 15, 2019 (2282 d)
Ann Starkey Devine	Sterne Agee Asset Management, Inc. other	LPL Financial LLC other	Other	Aug 16, 2013	Aug 14, 2013
Joseph Anthony Siragusa	Sterne Agee Asset Management, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jul 19, 2013	Aug 2, 2013
Charles Ellis Norwood	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Jul 10, 2013	Jul 1, 2013
Hollis Norman Gieger	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Jul 9, 2013	Jul 1, 2013
Michael Todd Abney	Sterne Agee Asset Management, Inc. other	Pnc Managed Account Solutions, Inc. other	Other	May 14, 2013	Oct 29, 2013 (168 d)
Matthew L Mcdaniel	Sterne Agee Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 15, 2013	May 13, 2013
Steven Richard Kahn	Sterne Agee Asset Management, Inc. other	Pmd Advisory mixed wealth	Other	Apr 9, 2013	Jun 6, 2013 (58 d)
Aaron Keith Gammon	Sterne Agee Asset Management, Inc. other	Cetera Investment Advisers LLC other	Other	Apr 9, 2013	Jan 21, 2014 (287 d)
Christopher Harold Baker	Sterne Agee Asset Management, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Mar 25, 2013	Apr 1, 2013
Kimberly Armbruster Davis	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Jan 24, 2013	May 13, 2014 (474 d)
Bruce Frederick Griggs	Sterne Agee Asset Management, Inc. other	Next Financial Group, Inc. other	Other	Jan 15, 2013	Jan 14, 2013
Ryan D Nast	Sterne Agee Asset Management, Inc. other	Cetera Investment Advisers LLC other	Other	Jan 14, 2013	Jan 21, 2014 (372 d)
Marilyn Mae Hoyle	Sterne Agee Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Jan 3, 2013	Nov 28, 2012
Jack Anthony Forlenza	Sterne Agee Asset Management, Inc. other	Capital One Financial Advisors LLC unclassified	Other	Dec 18, 2012	Dec 14, 2012
Matthew Brown Whitaker	Sterne Agee Asset Management, Inc. other	Next Financial Group, Inc. other	Other	Dec 1, 2012	Dec 3, 2012
James Michael Hill	Sterne Agee Asset Management, Inc. other	Independent Financial Partners other	Other	Nov 7, 2012	Nov 8, 2012
Robert Kent Hiss	Sterne Agee Asset Management, Inc. other	Independent Financial Partners other	Other	Nov 6, 2012	Nov 8, 2012
Dennis Wayne Sherman	Sterne Agee Asset Management, Inc. other	Independent Financial Partners other	Other	Nov 6, 2012	Nov 7, 2012
Matthew W Hiss	Sterne Agee Asset Management, Inc. other	Independent Financial Partners other	Other	Nov 6, 2012	Nov 7, 2012
Whitney Henson	Sterne Agee Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 31, 2012	Oct 3, 2012
Jaren Scott Kiser	Sterne Agee Asset Management, Inc. other	Kiser Planning & Wealth Management, LLC unclassified	Other	Oct 26, 2012	Oct 26, 2012
Bud Nicol	Sterne Agee Asset Management, Inc. other	Spc other	Other	Sep 26, 2012	Oct 3, 2012
Laree Kennedy	Sterne Agee Asset Management, Inc. other	Brookline Investments, Inc. other	Other	Aug 28, 2012	Jan 11, 2013 (136 d)
Mollie Becker Taylor	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Aug 28, 2012	Aug 27, 2012
Jennifer Dismukes	Sterne Agee Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Aug 23, 2012	Aug 2, 2012
David Neal Ketchem	Sterne Agee Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Aug 9, 2012	Jul 31, 2012
Mitchell Fredrick Dubina	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	May 16, 2012	May 7, 2012
Leiland David Overson	Sterne Agee Asset Management, Inc. other	Synergy Investment Group, LLC other	Other	Apr 25, 2012	May 8, 2012
Phillip Thomas Whitley	Sterne Agee Asset Management, Inc. other	Synergy Investment Group, LLC other	Other	Apr 25, 2012	Apr 26, 2012
Toni Marie Vaughan	Sterne Agee Asset Management, Inc. other	Synergy Investment Group, LLC other	Other	Apr 25, 2012	Apr 26, 2012
Tyler Darrell Current	Sterne Agee Asset Management, Inc. other	First Kentucky Securities Corp independent RIA	Other	Mar 27, 2012	Jan 13, 2021 (3214 d)
Dakota A Lawrence	Sterne Agee Asset Management, Inc. other	Blueskye Investment Advisers, LLC state registered	Other	Mar 19, 2012	Apr 8, 2025 (4768 d)
John Randolph Adams	Sterne Agee Asset Management, Inc. other	Bb&T Investment Services, Inc. no RAUM	Other	Mar 15, 2012	Mar 19, 2012
Wesley Samuel Williams	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	Feb 3, 2012	Feb 17, 2012
Ann Damon Haas	Sterne Agee Asset Management, Inc. other	1919 Investment Counsel, LLC other	Other	Dec 22, 2011	Jan 15, 2016 (1485 d)
Christopher Bolding	Sterne Agee Asset Management, Inc. other	Edward Jones national BD	Other	Nov 21, 2011	Nov 18, 2011
Casey Joe Hoffman	Sterne Agee Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 21, 2011	Aug 3, 2020 (3178 d)
Scott Alan Montes	Sterne Agee Asset Management, Inc. other	Concourse Financial Group Advisors other	Other	Nov 7, 2011	Jan 3, 2012 (57 d)
Aaron Daniel Schmanski	Sterne Agee Asset Management, Inc. other	Bok Financial Advisors other	Other	Oct 17, 2011	Oct 21, 2011
Nicholas Aloysius Danna	Sterne Agee Asset Management, Inc. other	Adg Wealth Management Group, LLC other	Other	Aug 12, 2011	Aug 18, 2011
Nathan Hugh Buffington	Sterne Agee Asset Management, Inc. other	Bb&T Investment Services, Inc. no RAUM	Other	Jul 18, 2011	Jul 13, 2011
Terry Lee Kors	Sterne Agee Asset Management, Inc. other	Private Advisor Group, LLC BD affiliated	Other	Jul 1, 2011	Feb 24, 2021 (3526 d)
Adolph Weil	Sterne Agee Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 15, 2011	Jun 10, 2011
Achim Michael Christner	Sterne Agee Asset Management, Inc. other	Morgan Stanley wirehouse	Other	May 19, 2011	Aug 22, 2011 (95 d)
Henry III,Henry Wagner III	Sterne Agee Asset Management, Inc. other	UBS Financial Services Inc. wirehouse	Other	May 2, 2011	Apr 19, 2011
Julie Uzzell Daniels	Sterne Agee Asset Management, Inc. other	Bb&T Securities, LLC BD affiliated	Other	Apr 18, 2011	Aug 15, 2018 (2676 d)
Douglas Charles Heske	Sterne Agee Asset Management, Inc. other	Stone & Youngberg LLC other	Other	Apr 11, 2011	Apr 5, 2011
Diane Nomura Endo	Sterne Agee Asset Management, Inc. other	UBS Financial Services Inc. wirehouse	Other	Mar 24, 2011	Mar 21, 2011
Paul Adrian Kromhout	Sterne Agee Asset Management, Inc. other	UBS Financial Services Inc. wirehouse	Other	Mar 24, 2011	Mar 21, 2011
David Anderson Cummings	Sterne Agee Asset Management, Inc. other	440 Investment Group, LLC other	Other	Feb 25, 2011	May 5, 2011 (69 d)
Alexander William Hargrave	Sterne Agee Asset Management, Inc. other	Financial Telesis, Inc. other	Other	Feb 22, 2011	Feb 17, 2011

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157 moves match.