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 J.J.B. Hilliard, W.L. Lyons, LLC

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
Heath Edward Scott	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James & Associates, Inc. national BD	RIA to affiliated broker-dealer or bank	Oct 18, 2019	Jul 13, 2017
Elizabeth C Kaplan	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Hilliard Lyons Capital Management, LLC unclassified	Other	Oct 18, 2019	Apr 1, 2008
Kimberly Kay Vande Vusse	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	RIA to wirehouse	Oct 11, 2019	Nov 13, 2019 (33 d)
Benjamin Tallman May	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Truist Advisory Services, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Aug 9, 2019	Aug 16, 2019
Randel Guerra Morris	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James & Associates, Inc. national BD	RIA to affiliated broker-dealer or bank	Jul 31, 2019	Jul 15, 2019
Charles Mark Willoughby	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Janney Montgomery Scott LLC BD affiliated	RIA to affiliated broker-dealer or bank	Jul 5, 2019	Jun 18, 2019
Steven James Kus	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James Financial Services Advisors, Inc BD affiliated	RIA to affiliated broker-dealer or bank	May 10, 2019	Apr 30, 2019
Stephen Kenneth Zink	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James Financial Services Advisors, Inc BD affiliated	RIA to affiliated broker-dealer or bank	May 9, 2019	Apr 30, 2019
Nathan Munro	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Avantax Advisory Services BD affiliated	RIA to affiliated broker-dealer or bank	May 9, 2019	Dec 9, 2019 (214 d)
Patrick C. Dammert	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	RIA to affiliated broker-dealer or bank	Apr 29, 2019	Apr 23, 2019
Nicole Ary Boren	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Avantax Planning Partners, Inc. independent RIA	RIA to RIA	Apr 26, 2019	May 17, 2019
George A Von Zedlitz	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Pnc Capital Advisors LLC other	Other	Apr 11, 2019	Jun 5, 2020 (421 d)
Arthur Edward Rozema	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Morgan Stanley wirehouse	RIA to wirehouse	Apr 8, 2019	Apr 12, 2019
James Francis Murphy	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Barksdale Investment Management institutional	Other	Apr 8, 2019	Feb 25, 2026 (2515 d)
David Steine	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Trustcore Financial Services, LLC independent RIA	RIA to RIA	Apr 8, 2019	Apr 17, 2019
Ruth Elizabeth Obrien	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Triad Advisors, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Apr 1, 2019	Apr 12, 2019
Leon Sirvaitis	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Triad Advisors, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Apr 1, 2019	Apr 11, 2019
Diane Lorraine White	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Robert W. Baird & Co. Incorporated mixed wealth	RIA to RIA	Mar 29, 2019	Mar 25, 2019
John Charles Beery	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Robert W. Baird & Co. Incorporated mixed wealth	RIA to RIA	Mar 29, 2019	Mar 25, 2019
Lynn Elizabeth Maclean	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Robert W. Baird & Co. Incorporated mixed wealth	RIA to RIA	Mar 29, 2019	Mar 25, 2019
David Fielding Havens	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	RIA to affiliated broker-dealer or bank	Mar 20, 2019	Mar 14, 2019
Kevin Brian Lyall	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	RIA to affiliated broker-dealer or bank	Mar 20, 2019	Mar 14, 2019
Seth Christian Owen	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Private Client Services, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Mar 11, 2019	Mar 7, 2019
Thomas Ohearn Eifler	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Wealthtrust Asset Management, LLC independent RIA	RIA to RIA	Feb 28, 2019	Jan 1, 2026 (2499 d)
Anthony Charles Larosa	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Private Counsel Group, Ltd. independent RIA	RIA to RIA	Feb 25, 2019	May 20, 2019 (84 d)
Joleen Marie Parsons	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Cuna Brokerage Services, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Feb 12, 2019	Jan 15, 2020 (337 d)
Kimberly Ann Mankin	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	UBS Financial Services Inc. wirehouse	RIA to wirehouse	Jan 22, 2019	Jan 31, 2019
Samuel Dyk Hershberger	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Edward Jones national BD	RIA to affiliated broker-dealer or bank	Jan 11, 2019	Aug 12, 2019 (213 d)
Angela Marie Messer	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Ameriprise Financial Services, LLC national BD	RIA to affiliated broker-dealer or bank	Dec 20, 2018	Dec 14, 2018
Claude Michael Parrott	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James & Associates, Inc. national BD	RIA to affiliated broker-dealer or bank	Dec 17, 2018	Dec 14, 2018
William D Green	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Oxinas Partners Wealth Management independent RIA	RIA to RIA	Dec 17, 2018	Jan 2, 2019
William Claude Parrott	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James & Associates, Inc. national BD	RIA to affiliated broker-dealer or bank	Dec 17, 2018	Dec 14, 2018
Emily Lauren Boyd-Brown	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Fsc Securities Corporation BD affiliated	RIA to affiliated broker-dealer or bank	Dec 17, 2018	Jan 24, 2019 (38 d)
Anne Cole Billings	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	RIA to affiliated broker-dealer or bank	Dec 7, 2018	Dec 5, 2018
Robert Andrew Mayer	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	RIA to affiliated broker-dealer or bank	Dec 7, 2018	Dec 5, 2018
Sherry Denise Holley	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James Financial Services Advisors, Inc BD affiliated	RIA to affiliated broker-dealer or bank	Sep 26, 2018	Sep 25, 2018
Savannah Brooke Martin	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James Financial Services Advisors, Inc BD affiliated	RIA to affiliated broker-dealer or bank	Sep 26, 2018	Sep 25, 2018
David Philip Kirby	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Bb&T Securities, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Sep 5, 2018	Aug 31, 2018
Matthew Alan Hale	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Bb&T Securities, LLC BD affiliated	RIA to affiliated broker-dealer or bank	Sep 5, 2018	Aug 31, 2018
Colin W Evans	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Robert W. Baird & Co. Incorporated mixed wealth	RIA to RIA	Aug 3, 2018	Jun 17, 2021 (1049 d)
Kimberly Sizemore Moser	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James & Associates, Inc. national BD	RIA to affiliated broker-dealer or bank	Jul 25, 2018	Jul 31, 2018
Angela Dement	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	J.P. Morgan Securities LLC wirehouse	RIA to wirehouse	Jul 16, 2018	Sep 18, 2018 (64 d)
Daniel Gonzalez	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Fidelity Personal And Workplace Advisors BD affiliated	RIA to affiliated broker-dealer or bank	Jul 13, 2018	May 21, 2019 (312 d)
Lisa Faye Leisure	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Pcg Wealth Management independent RIA	RIA to RIA	Jul 10, 2018	Sep 22, 2021 (1170 d)
Nicholas Joseph Gehrs	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Cutter & Company, Inc. independent RIA	RIA to RIA	Jun 1, 2018	Jun 2, 2018
Joseph Radu Beck	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Cutter & Company, Inc. independent RIA	RIA to RIA	Jun 1, 2018	Jun 1, 2018
Jeffrey Michael Gough	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Saling Wealth Advisors independent RIA	RIA to RIA	May 11, 2018	May 14, 2018
Mark John Zipfel	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Ameriprise Financial Services, LLC national BD	RIA to affiliated broker-dealer or bank	Jan 19, 2018	Jan 4, 2018
Neil C Zipfel	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Ameriprise Financial Services, LLC national BD	RIA to affiliated broker-dealer or bank	Jan 10, 2018	Jan 4, 2018
Ben Wilson Bruce	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James Financial Services Advisors, Inc other	Other	Dec 14, 2017	Nov 20, 2017
William Francis Hartmann	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Raymond James Financial Services Advisors, Inc other	Other	Dec 14, 2017	Nov 20, 2017
Paul David Cockman	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	LPL Financial LLC independent RIA	RIA to RIA	Dec 13, 2017	Nov 22, 2017
Gina Carol Davis	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	RIA to wirehouse	Dec 5, 2017	Jan 4, 2018
Michael James Snyder	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Ameriprise Financial Services, LLC national BD	RIA to affiliated broker-dealer or bank	Nov 28, 2017	Nov 17, 2017
Bingjing Xu	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Ameriprise Financial Services, LLC national BD	RIA to affiliated broker-dealer or bank	Nov 28, 2017	Nov 17, 2017
Chung Kuo Lieu	J.J.B. Hilliard, W.L. Lyons, LLC other	Benjamin F. Edwards & Company, Incorporated other	Other	Oct 19, 2017	Oct 7, 2017
Stephen Michael Elder	J.J.B. Hilliard, W.L. Lyons, LLC other	Janney Montgomery Scott LLC other	Other	Aug 22, 2017	Aug 18, 2017
William Patrick Roper	J.J.B. Hilliard, W.L. Lyons, LLC other	First Horizon Advisors, Inc other	Other	Aug 22, 2017	Aug 28, 2017
Katherine Graham Kicklighter	J.J.B. Hilliard, W.L. Lyons, LLC other	Ameriprise Financial Services, LLC national BD	Other	Jun 27, 2017	Jun 23, 2017
James Spencer Templin	J.J.B. Hilliard, W.L. Lyons, LLC other	Keystone Financial Group, LLC other	Other	Jun 27, 2017	Jun 27, 2017

Page 1 of 5Next

257 moves match.