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 Stephens

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.

AdvisorFromToTypeLeftRegistered
Peyton Welby KlawinskiStephens BD affiliatedRed Door Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAAug 3, 2021Oct 8, 2021 (66 d)
Jesse Daniel FordStephens BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseAug 3, 2021Sep 23, 2021 (51 d)
Abigail WilliamsStephens BD affiliatedNorthwestern Mutual Investment Services,LLC no RAUMOtherAug 3, 2021Oct 12, 2021 (70 d)
Francis Joel HoefflerStephens BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseMay 17, 2021Aug 11, 2025 (1547 d)
Nathan RichardsStephens BD affiliatedRBC Capital Markets, LLC national BDAffiliated broker-dealer or bank to anotherMar 31, 2021May 25, 2021 (55 d)
Lyndell Phillip WorthenStephens BD affiliatedNaviter Wealth, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 29, 2021Jan 15, 2021
Jordan L. BauerStephens BD affiliatedNaviter Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJan 29, 2021Jan 23, 2024 (1089 d)
John William KornetStephens BD affiliatedNaviter Wealth, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 29, 2021Jan 15, 2021
Daniel Patton RussellStephens BD affiliatedNaviter Wealth, LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserJan 29, 2021Jan 15, 2021
Michael Hill MurdockStephens BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseDec 8, 2020Apr 25, 2022 (503 d)
Bentley Edward BlackmonStephens BD affiliatedNaviter Wealth, LLC independent RIAAffiliated broker-dealer or bank to independent RIAOct 5, 2020Apr 7, 2021 (184 d)
Sarah PickensStephens BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseFeb 5, 2020Feb 21, 2023 (1112 d)
Jeffrey Paul ColbathStephens BD affiliatedCarter, Terry & Company, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 8, 2020Jan 31, 2020
Anne Marie WebsterStephens BD affiliatedJt Stratford, LLC independent RIAAffiliated broker-dealer or bank to independent RIANov 18, 2019Jan 9, 2020 (52 d)
George Francis BoudriaStephens BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseOct 7, 2019Oct 4, 2019
Edward Allen MoodyStephens BD affiliatedCfm Wealth Partners LLC no RAUMAffiliated broker-dealer or bank to a newly registered adviserOct 1, 2019Sep 26, 2019
James Eugene HolmesStephens BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseSep 5, 2019Aug 30, 2019
Kathryn Sanders OrlickStephens BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseSep 5, 2019Aug 30, 2019
Beth Ann RobertsStephens BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseMay 24, 2019Aug 8, 2019 (76 d)
William Balch HoofmanStephens BD affiliatedSound Capital state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 5, 2019Oct 7, 2019 (244 d)
Edward Lowell HildebrandStephens BD affiliatedSowell Management independent RIAAffiliated broker-dealer or bank to independent RIADec 13, 2018Mar 12, 2019 (89 d)
Ralph Mckinley CrossStephens BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseOct 18, 2018Oct 16, 2018
Tyler DubayStephens BD affiliatedInvesco Advisers, Inc. asset managerOtherAug 29, 2018Jul 10, 2019 (315 d)
Paige HatcherStephens BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseJul 25, 2018Feb 27, 2019 (217 d)
Louis Gregory FrascognaStephens BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJun 15, 2018Jun 20, 2018
Charles Matthew DuncanStephens BD affiliatedAptus Financial, LLC independent RIAAffiliated broker-dealer or bank to independent RIAJun 5, 2018Jul 18, 2018 (43 d)
Matthew David RodgersStephens BD affiliatedNova R Wealth, Inc. independent RIAAffiliated broker-dealer or bank to independent RIAApr 30, 2018May 29, 2018
Sandra Clay McdearmanStephens BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseDec 18, 2017Jan 22, 2018 (35 d)
Alan Bradley TedfordStephens otherStephens Group Asset Management, LLC no RAUMOtherOct 11, 2017Oct 6, 2017
Jeffrey Alan LewisStephens otherBb&T Securities, LLC otherOtherSep 15, 2017Sep 12, 2017
Kimberly Dawn SmithStephens otherRaymond James Financial Services Advisors, Inc BD affiliatedOtherAug 22, 2017Nov 13, 2018 (448 d)
Jeffrey Lynn GreenStephens otherBenjamin F. Edwards & Company, Incorporated otherOtherAug 9, 2017Aug 4, 2017
Timothy Garry FitzgeraldStephens otherBenjamin F. Edwards & Company, Incorporated otherOtherAug 9, 2017Aug 4, 2017
Stacy Carol JenningsStephens otherBenjamin F. Edwards & Company, Incorporated otherOtherAug 9, 2017Aug 4, 2017
Lynn Michelle RogersStephens otherRobert W. Baird & Co. Incorporated otherOtherFeb 3, 2017Sep 12, 2017 (221 d)
Mark Coe PendergrastStephens otherCetera Investment Advisers LLC otherOtherDec 7, 2016Dec 9, 2016
Rebecca Duckworth KernanStephens otherWells Fargo Advisors wirehouseOtherOct 19, 2016Oct 31, 2016
Cynthia J LewisStephens otherBenjamin F. Edwards & Company, Incorporated otherOtherSep 15, 2016Sep 9, 2016
Brian Todd ErwinStephens otherBenjamin F. Edwards & Company, Incorporated otherOtherSep 15, 2016Sep 9, 2016
Shawn Patrick KenneyStephens otherB. Riley Wealth Advisors, Inc. BD affiliatedOtherJun 16, 2016Jan 1, 2025 (3121 d)
John Cooper MickleStephens otherRaymond James & Associates, Inc. national BDOtherJan 20, 2016Jan 13, 2016
Vincent Edward CaineStephens otherKaye Riggs & Associates otherOtherDec 15, 2015Sep 23, 2022 (2474 d)
Timothy John QuillinStephens otherAptus Financial, LLC independent RIAOtherDec 1, 2015May 26, 2017 (542 d)
Christopher Baxter JonesStephens otherCommonwealth Financial Network national BDOtherSep 4, 2015Sep 3, 2015
Paul Kelly LoyaconoStephens otherIfg Advisory, LLC otherOtherAug 13, 2015Aug 17, 2015
Denise M WilliamsStephens otherB Riley Wealth Management otherOtherJul 15, 2015Jul 23, 2015
Joseph Clay YoungStephens otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherMay 5, 2015May 8, 2015
James Cleatus OwensStephens otherJanney Montgomery Scott LLC otherOtherFeb 2, 2015Jan 29, 2015
Glenda Gail McconnegheyStephens otherJanney Montgomery Scott LLC otherOtherFeb 2, 2015Feb 18, 2015
Lawrence Parker WattsStephens otherRaymond James & Associates, Inc. national BDOtherDec 22, 2014Apr 25, 2016 (490 d)
James Donald ColbourneStephens otherLPL Financial LLC otherOtherJul 17, 2014Nov 4, 2014 (110 d)
Jane S GoodyearStephens otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherFeb 26, 2014Mar 5, 2014
Deborah Kelley NeumannStephens otherRaymond James & Associates, Inc. national BDOtherFeb 7, 2014Feb 5, 2014
Ronald Patrick CameronStephens otherRaymond James Financial Services Advisors, Inc otherOtherDec 6, 2013Dec 10, 2013
Timothy Joel HynesStephens otherRaymond James Financial Services Advisors, Inc otherOtherNov 20, 2013Nov 22, 2013
Kelly Sue PennStephens otherRaymond James Financial Services Advisors, Inc otherOtherNov 20, 2013Nov 20, 2013
Paige WilliamsStephens otherForvis Mazars Wealth Advisors, LLC independent RIAOtherNov 14, 2013Jan 3, 2024 (3702 d)
William Gilmore Simms OliphantStephens otherJanney Montgomery Scott LLC otherOtherJun 14, 2013Jun 10, 2013
Christopher Thomas SmithStephens otherJanney Montgomery Scott LLC otherOtherJun 11, 2013Jun 10, 2013
Julie Elizabeth HallStephens otherJanney Montgomery Scott LLC otherOtherJun 11, 2013Jun 10, 2013
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182 moves match.