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
Matthew G. Kiser	Sterne Agee Asset Management, Inc. other	Pnc Managed Account Solutions, Inc. other	Other	Jan 19, 2011	Jun 6, 2011 (138 d)
Cody M. Pugh	Sterne Agee Asset Management, Inc. other	Arvest Wealth Management other	Other	Nov 3, 2010	Nov 12, 2010
Robert Carter Lachney	Sterne Agee Asset Management, Inc. other	Morgan Keegan & Company, LLC other	Other	Oct 13, 2010	Jan 11, 2011 (90 d)
Scott William Carr	Sterne Agee Asset Management, Inc. other	Cadaret Grant & Co Inc other	Other	Sep 17, 2010	Sep 10, 2010
Michelle Cook	Sterne Agee Asset Management, Inc. other	Bb&T Investment Services, Inc. no RAUM	Other	Aug 31, 2010	Sep 8, 2010
Thomas Lee Christenbury	Sterne Agee Asset Management, Inc. other	Duncan-Williams, Inc. other	Other	Jul 14, 2010	Aug 5, 2010
Peter Fokas	Sterne Agee Asset Management, Inc. other	Afc Wealth Advisors state registered	Other	Jun 18, 2010	Jul 30, 2025 (5521 d)
Vanessa Michelle Jilot	Sterne Agee Asset Management, Inc. other	Ameriprise Financial Services, LLC national BD	Other	Feb 26, 2010	Apr 21, 2010 (54 d)
Nigel Adam Guntharp	Sterne Agee Asset Management, Inc. other	Fsc Securities Corporation other	Other	Dec 10, 2009	Dec 10, 2009
Michael Ronald Hindman	Sterne Agee Asset Management, Inc. other	MML Investors Services, LLC other	Other	Nov 17, 2009	Apr 17, 2012 (882 d)
Barbara Blakeman Haydel	Sterne Agee Asset Management, Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 16, 2009	Apr 1, 2022 (4550 d)
Michael Owen Adair	Sterne Agee Asset Management, Inc. other	Foxhall Capital Management, Inc. other	Other	Oct 7, 2009	Jul 27, 2011 (658 d)
Robert Morris Glasgow	Sterne Agee Asset Management, Inc. other	Glasgow Capital Management LLC unclassified	Other	Aug 31, 2009	Jul 7, 2009
Roy Michael Blumberg	Sterne Agee Asset Management, Inc. other	Private Advisor Group, LLC other	Other	Aug 3, 2009	Jun 1, 2012 (1033 d)
Christian Peter Cappello	Sterne Agee Asset Management, Inc. other	Janney Montgomery Scott LLC BD affiliated	Other	Jul 8, 2009	May 14, 2019 (3597 d)
Jennifer Lynn Standley	Sterne Agee Asset Management, Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Apr 2, 2009	Mar 13, 2019 (3632 d)
Grady Calvin Benford	Sterne Agee Asset Management, Inc. other	Morgan Keegan & Company, LLC other	Other	Feb 12, 2009	Mar 6, 2009
Russell Hilary Cotton	Sterne Agee Asset Management, Inc. other	Raymond James & Associates, Inc. national BD	Other	Feb 12, 2009	Feb 9, 2009
Jaime Settles	Sterne Agee Asset Management, Inc. other	First Horizon Advisors, Inc other	Other	Sep 5, 2008	Nov 17, 2009 (438 d)
James Todd Newton	Sterne Agee Asset Management, Inc. other	Anderson & Strudwick, Incorporated other	Other	Aug 14, 2008	Jan 6, 2010 (510 d)
John Robert Burch	Sterne Agee Asset Management, Inc. other	Valic Financial Advisors, Inc. other	Other	Aug 1, 2008	Sep 4, 2008 (34 d)
Sylvia Howe	Sterne Agee Asset Management, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 26, 2008	Aug 18, 2008 (53 d)
Jenifer Gilchrist	Sterne Agee Asset Management, Inc. other	Cetera Investment Services LLC other	Other	Oct 3, 2007	Sep 25, 2007
Mark Andrew Pearson	Sterne Agee Asset Management, Inc. other	Altavista Wealth Management, Inc. other	Other	Sep 19, 2007	Oct 1, 2007
Keith Edward Miller	Sterne Agee Asset Management, Inc. other	First Allied Securities, Inc. other	Other	Aug 1, 2007	Aug 8, 2007
Timothy James Morgan	Sterne Agee Asset Management, Inc. other	Morgan Capital Group LLC state registered	Other	Jul 9, 2007	Jan 27, 2020 (4585 d)
Jennifer Ford Deloach	Sterne Agee Asset Management, Inc. other	Robert W. Baird & Co. Incorporated other	Other	Jun 27, 2007	May 9, 2007
Milton Sanders Park	Sterne Agee Asset Management, Inc. other	Robert W. Baird & Co. Incorporated other	Other	May 11, 2007	May 23, 2007
Alvin Kenneth Smith	Sterne Agee Asset Management, Inc. other	Gunnallen Financial, Inc unclassified	Other	May 11, 2007	Apr 23, 2007
Caroline Downing Yeilding	Sterne Agee Asset Management, Inc. other	Lanark Financial, Inc. other	Other	May 11, 2007	May 1, 2007
Roy Michael Blumberg	Sterne Agee Asset Management, Inc. other	Janney Montgomery Scott LLC other	Other	Sep 29, 2006	Jul 17, 2006
Christopher Leonce Doucet	Sterne Agee Asset Management, Inc. other	Doucet Asset Management, LLC other	Other	Sep 20, 2006	Sep 25, 2006
William Wash Chisholm	Sterne Agee Asset Management, Inc. other	Tidewater Wealth Advisors state registered	Other	Aug 25, 2006	Nov 8, 2010 (1536 d)
Garrett Mitchell Alton	Sterne Agee Asset Management, Inc. other	Neuberger Berman Bd LLC other	Other	Jul 27, 2006	Jul 7, 2006
Fraley Carlton	Sterne Agee Asset Management, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	May 19, 2006	Jan 2, 2009 (959 d)
Leslie Jean Hale	Sterne Agee Asset Management, Inc. other	First Independent Advisory Services, Inc. unclassified	Other	Mar 27, 2006	Jan 30, 2008 (674 d)
Robert Wayne Martin	Sterne Agee Asset Management, Inc. other	Janney Montgomery Scott LLC other	Other	Dec 19, 2005	Dec 14, 2005

Page 3 of 3Previous

157 moves match.