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
Kurt Alan Gutman	J.J.B. Hilliard, W.L. Lyons, LLC other	Compass Financial Advisors LLC other	Other	Jun 3, 2009	Jun 3, 2009
Thomas Edward Gregory	J.J.B. Hilliard, W.L. Lyons, LLC other	Wells Fargo Advisors wirehouse	Other	May 22, 2009	May 21, 2009
Kelli Marie Popp	J.J.B. Hilliard, W.L. Lyons, LLC other	Raymond James & Associates, Inc. national BD	Other	May 11, 2009	Jul 31, 2009 (81 d)
Kevin Thomas Sheffield	J.J.B. Hilliard, W.L. Lyons, LLC other	Edward Jones national BD	Other	Apr 28, 2009	Dec 9, 2009 (225 d)
Harold Gregory Goodlett	J.J.B. Hilliard, W.L. Lyons, LLC other	Wells Fargo Advisors wirehouse	Other	Jan 28, 2009	Aug 28, 2012 (1308 d)
Adam Martin Heckman	J.J.B. Hilliard, W.L. Lyons, LLC other	Edward Jones national BD	Other	Sep 19, 2008	Sep 19, 2008
James Patrick Kent	J.J.B. Hilliard, W.L. Lyons, LLC other	Osaic Fs, Inc. other	Other	Jun 27, 2008	Sep 30, 2014 (2286 d)
Robert Louis Pierce	J.J.B. Hilliard, W.L. Lyons, LLC other	Fifth Third Securities, Inc. other	Other	May 20, 2008	May 16, 2008
James Charles Schillaci	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 15, 2008	Apr 11, 2008
Kevin Ronald Johns	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 15, 2008	Apr 11, 2008
Brian Mark Wenstrup	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Apr 15, 2008	Apr 11, 2008
Mitchell Steven Avnet	J.J.B. Hilliard, W.L. Lyons, LLC other	Pnc Wealth Management other	Other	Apr 3, 2008	Feb 14, 2008
Andrew Wilton Means	J.J.B. Hilliard, W.L. Lyons, LLC other	Hilliard Lyons Capital Management, LLC unclassified	Other	Apr 1, 2008	Apr 1, 2008
Donald A Keeney	J.J.B. Hilliard, W.L. Lyons, LLC other	Hilliard Lyons Capital Management, LLC unclassified	Other	Apr 1, 2008	Apr 1, 2008
Stokes Andrew Baird	J.J.B. Hilliard, W.L. Lyons, LLC other	Citigroup Global Markets Inc. other	Other	Mar 24, 2008	Mar 20, 2008
Henry Platt Brightwell	J.J.B. Hilliard, W.L. Lyons, LLC other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Mar 11, 2008	Mar 14, 2008
Thomas Craig Moore	J.J.B. Hilliard, W.L. Lyons, LLC other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Mar 11, 2008	Mar 10, 2008
Bradford Stuart Webb	J.J.B. Hilliard, W.L. Lyons, LLC other	Arete Wealth Advisors, LLC other	Other	Mar 10, 2008	Feb 23, 2017 (3272 d)
Brian Douglas Welch	J.J.B. Hilliard, W.L. Lyons, LLC other	Morgan Stanley & Co. LLC unclassified	Other	Mar 3, 2008	Mar 3, 2008
Randal Jordan King	J.J.B. Hilliard, W.L. Lyons, LLC other	Investment Professionals, Inc. other	Other	Feb 1, 2008	Jun 22, 2010 (872 d)
Thomas Kevin Kyle	J.J.B. Hilliard, W.L. Lyons, LLC other	Thrivent Investment Management Inc. other	Other	Jan 7, 2008	Sep 9, 2010 (976 d)
Victor Charles Mcleod	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 14, 2007	Nov 6, 2007
Dana Pullem Cox	J.J.B. Hilliard, W.L. Lyons, LLC other	Equitable Advisors, LLC national BD	Other	Oct 26, 2007	Jul 16, 2009 (629 d)
Jason Dimitri Nicoloff	J.J.B. Hilliard, W.L. Lyons, LLC other	Chase Investment Services Corp. other	Other	Aug 17, 2007	Apr 17, 2009 (609 d)
John Everett Bennett	J.J.B. Hilliard, W.L. Lyons, LLC other	Bb&T Investment Services, Inc. no RAUM	Other	May 21, 2007	Sep 19, 2007 (121 d)
Eric John Zipfel	J.J.B. Hilliard, W.L. Lyons, LLC other	Td Ameritrade Investment Management, LLC other	Other	Mar 13, 2007	Mar 26, 2008 (379 d)
George Michael Perros	J.J.B. Hilliard, W.L. Lyons, LLC other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Feb 21, 2007	Feb 26, 2007
Joseph Craig	J.J.B. Hilliard, W.L. Lyons, LLC other	&Partners other	Other	Dec 20, 2006	Dec 18, 2006
Todd Lee Rust	J.J.B. Hilliard, W.L. Lyons, LLC other	Wells Fargo Advisors wirehouse	Other	Sep 11, 2006	Aug 31, 2006
John Cazort Hardy	J.J.B. Hilliard, W.L. Lyons, LLC other	Hardy Reed, LLC other	Other	Aug 25, 2006	Mar 26, 2007 (213 d)
George Scott Reed	J.J.B. Hilliard, W.L. Lyons, LLC other	Hardy Reed, LLC other	Other	Aug 25, 2006	Aug 25, 2006
Richard Lee Hill	J.J.B. Hilliard, W.L. Lyons, LLC other	Hardy Reed, LLC other	Other	Aug 25, 2006	Aug 25, 2006
John Robert Stewart	J.J.B. Hilliard, W.L. Lyons, LLC other	Ferris, Baker Watts, LLC unclassified	Other	Aug 10, 2006	Aug 9, 2006
Don Carlos Graeter	J.J.B. Hilliard, W.L. Lyons, LLC other	Raymond James Financial Services, Inc. unclassified	Other	Aug 7, 2006	Aug 9, 2006
Drew Joseph Graeter	J.J.B. Hilliard, W.L. Lyons, LLC other	Raymond James Financial Services, Inc. unclassified	Other	Aug 7, 2006	Aug 9, 2006
Michael Scott Robinson	J.J.B. Hilliard, W.L. Lyons, LLC other	Atlas Brown other	Other	Jul 6, 2006	May 19, 2014 (2874 d)
Stephen Michael Gigliotti	J.J.B. Hilliard, W.L. Lyons, LLC other	J.P. Morgan Securities Inc. unclassified	Other	Jun 21, 2006	Oct 12, 2007 (478 d)
Stephen Stclair Kottkamp	J.J.B. Hilliard, W.L. Lyons, LLC other	LPL Financial LLC other	Other	May 3, 2006	May 2, 2006
Michelle Veronica Vanover	J.J.B. Hilliard, W.L. Lyons, LLC other	A. G. Edwards & Sons, Inc. unclassified	Other	May 1, 2006	May 9, 2006
Dirk James Thompson	J.J.B. Hilliard, W.L. Lyons, LLC other	A. G. Edwards & Sons, Inc. unclassified	Other	Apr 11, 2006	Apr 24, 2006
Michael Stephen Lavera	J.J.B. Hilliard, W.L. Lyons, LLC other	Morgan Keegan & Company, LLC other	Other	Mar 29, 2006	Mar 23, 2006
D Mark Smith	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 16, 2006	Feb 9, 2006
Ronald Jack Deinlein	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 16, 2006	Feb 9, 2006
Edward Ladd Currens	J.J.B. Hilliard, W.L. Lyons, LLC other	Wells Fargo Advisors wirehouse	Other	Jan 24, 2006	Jan 23, 2006
Richard Michael Noonan	J.J.B. Hilliard, W.L. Lyons, LLC other	Morgan Keegan & Company, LLC other	Other	Jan 12, 2006	Jan 3, 2006
Charles Arthur Eisenmann	J.J.B. Hilliard, W.L. Lyons, LLC other	UBS Financial Services Inc. wirehouse	Other	Oct 31, 2005	Oct 28, 2005
Robert David Wallace	J.J.B. Hilliard, W.L. Lyons, LLC other	Anderson & Strudwick, Incorporated other	Other	Sep 22, 2005	Nov 14, 2005 (53 d)
David Turner Barnett	J.J.B. Hilliard, W.L. Lyons, LLC other	Wells Fargo Advisors wirehouse	Other	Jul 14, 2005	Jun 17, 2005
Lance Christopher Turner	J.J.B. Hilliard, W.L. Lyons, LLC other	Raymond James & Associates, Inc. national BD	Other	Jun 15, 2005	Jul 27, 2005 (42 d)
Nicholas Peter Dickinson	J.J.B. Hilliard, W.L. Lyons, LLC other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Jun 1, 2005	May 6, 2005
Sharon C Jennings	J.J.B. Hilliard, W.L. Lyons, LLC other	Citigroup Global Markets Inc. other	Other	May 16, 2005	Apr 27, 2005
Kevin Monroe Leet	J.J.B. Hilliard, W.L. Lyons, LLC other	Ameriprise Advisor Services, Inc. unclassified	Other	May 10, 2005	May 10, 2005
Dana Jennifer Worland	J.J.B. Hilliard, W.L. Lyons, LLC other	Edward Jones national BD	Other	Mar 31, 2005	Mar 14, 2005
Timothy Scott Swickard	J.J.B. Hilliard, W.L. Lyons, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Feb 10, 2005	Jan 14, 2005
Steven Lowell Smith	J.J.B. Hilliard, W.L. Lyons, LLC other	Edward Jones national BD	Other	Feb 4, 2005	Feb 18, 2005
William Wayne Hancock, III	J.J.B. Hilliard, W.L. Lyons, LLC other	Atlas Brown independent RIA	Other	Feb 4, 2005	Jan 1, 2025 (7271 d)
Daphne Yvette Rushing	J.J.B. Hilliard, W.L. Lyons, LLC other	Citigroup Global Markets Inc. other	Other	Dec 17, 2004	Apr 4, 2005 (108 d)
Gaye Messmer Pike	J.J.B. Hilliard, W.L. Lyons, LLC other	Lanark Financial, Inc. other	Other	Dec 17, 2004	Apr 14, 2015 (3770 d)
Thomas Craig Moore	J.J.B. Hilliard, W.L. Lyons, LLC other	Pnc Wealth Management other	Other	Nov 8, 2004	Nov 8, 2004
Michael A Loney	J.J.B. Hilliard, W.L. Lyons, LLC other	Edward Jones national BD	Other	Nov 3, 2004	Sep 3, 2010 (2130 d)

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257 moves match.