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 Piper Sandler & Co.

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
Bradley Slaughter	Piper Sandler & Co. institutional	Northland Asset Management independent RIA	Other	Jul 20, 2023	Jan 8, 2024 (172 d)
Anton Gabriel Deden	Piper Sandler & Co. other	D.A. Davidson & Co. independent RIA	Other	Nov 15, 2022	Nov 30, 2022
Matthew John Sullivan	Piper Sandler & Co. other	J.P. Morgan Securities LLC wirehouse	Other	Mar 9, 2020	Jan 27, 2022 (689 d)
Joshua David Schultheis	Piper Sandler & Co. other	Umb Financial Services, Inc. BD affiliated	Other	Jan 21, 2020	Mar 10, 2020 (49 d)
Matthew Aaron Lusardi	Piper Sandler & Co. other	Robert W. Baird & Co. Incorporated mixed wealth	Other	Sep 3, 2019	Oct 30, 2019 (57 d)
Aaron Daniel Schmanski	Piper Sandler & Co. other	LPL Financial LLC BD affiliated	Other	Oct 17, 2018	Jun 19, 2020 (611 d)
Michelle Murray	Piper Sandler & Co. other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Jul 9, 2018	Jan 13, 2020 (553 d)
Wendy Ambrosius Grall	Piper Sandler & Co. other	Wells Fargo Investment Institute, Inc. other	Other	Jun 8, 2017	Nov 30, 2021 (1636 d)
Ryan Thomas Bouchard	Piper Sandler & Co. no RAUM	Brand Asset Management Group, Inc. other	Other	Mar 25, 2008	Jan 15, 2014 (2122 d)
Timothy Michael Macarak	Piper Sandler & Co. no RAUM	Td Ameritrade, Inc. no RAUM	Other	Mar 25, 2008	Jan 16, 2009 (297 d)
Shreekkanth Viswanathan	Piper Sandler & Co. no RAUM	Svn Capital, LLC state registered	Other	Jan 11, 2007	Jun 18, 2018 (4176 d)
Philip Jon Winkel	Piper Sandler & Co. no RAUM	UBS Financial Services Inc. wirehouse	Other	Sep 22, 2006	Nov 21, 2006 (60 d)
George P Lares	Piper Sandler & Co. no RAUM	First Financial Equity Corporation other	Other	Aug 17, 2006	Jan 4, 2017 (3793 d)
Corey Marshall Bird	Piper Sandler & Co. no RAUM	Rowland Carmichael Advisors Inc other	Other	Aug 17, 2006	Dec 12, 2007 (482 d)
Kathleen Marie Dunn	Piper Sandler & Co. no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 17, 2006	Jul 21, 2006
James Frederick Wessels	Piper Sandler & Co. no RAUM	Voya Financial Advisors, Inc. other	Other	Aug 10, 2006	Sep 30, 2006 (51 d)
Robert Walker Kenny	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Aug 2, 2006	Aug 11, 2006
Anthony William Ross	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Aug 2, 2006	Jul 28, 2006
Ronald Wallace Anderson	Piper Sandler & Co. no RAUM	A. G. Edwards & Sons, Inc. unclassified	Other	Aug 1, 2006	Aug 3, 2006
Anthony Barthol Schumacher	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jul 31, 2006	Jul 21, 2006
Denise Marie Veerhusen	Piper Sandler & Co. no RAUM	A. G. Edwards & Sons, Inc. unclassified	Other	Jul 31, 2006	Aug 3, 2006
Margaret Mary Kineke	Piper Sandler & Co. no RAUM	D.A. Davidson & Co. other	Other	Jul 25, 2006	Jul 21, 2006
Joshua Jack Herrin	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jul 25, 2006	Jul 21, 2006
Mark Fred Augusta	Piper Sandler & Co. no RAUM	Stone & Youngberg LLC other	Other	Jul 21, 2006	Jul 17, 2006
William Raymond Cooney	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Jul 21, 2006	Jul 26, 2006
Joseph Patrick Gravino	Piper Sandler & Co. no RAUM	Raymond James Financial Services, Inc. unclassified	Other	Jul 21, 2006	Jul 18, 2006
Daniel Craig Osgood	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Jul 21, 2006	Jul 14, 2006
Shane William Cooney	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Jul 21, 2006	Jul 17, 2006
Cydney Irene Crampton	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jul 14, 2006	Jul 10, 2006
Thomas Francis Kelly	Piper Sandler & Co. no RAUM	D.A. Davidson & Co. other	Other	Jul 13, 2006	Jul 7, 2006
Edward Dormann Haywood	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jul 13, 2006	Jul 7, 2006
Curtis Godt	Piper Sandler & Co. no RAUM	Wells Fargo Investments, LLC unclassified	Other	Jul 10, 2006	Jul 3, 2006
Lisa Jo Sievers	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Jul 10, 2006	Jun 30, 2006
Raleigh Ann Vachek	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Jul 10, 2006	Jun 30, 2006
Adam Feik	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Jul 10, 2006	Jun 30, 2006
Eric Lloyd Brewe	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jul 7, 2006	Jun 30, 2006
Barney J Cohen	Piper Sandler & Co. no RAUM	J.P. Morgan Securities LLC wirehouse	Other	Jul 7, 2006	Jun 30, 2006
Brian Edward Aukes	Piper Sandler & Co. no RAUM	Voya Financial Advisors, Inc. other	Other	Jul 5, 2006	Jun 19, 2006
William Paul Fleenor	Piper Sandler & Co. no RAUM	D.A. Davidson & Co. other	Other	Jun 28, 2006	Jun 23, 2006
Mary Denise Mcgonigal	Piper Sandler & Co. no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 28, 2006	Jun 23, 2006
James Alan Anderson	Piper Sandler & Co. no RAUM	D.A. Davidson & Co. other	Other	Jun 28, 2006	Jun 23, 2006
Lee Michael Turek	Piper Sandler & Co. no RAUM	Cantella & Co., Inc. other	Other	Jun 26, 2006	Sep 8, 2006 (74 d)
Brent Roger Rice	Piper Sandler & Co. no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 23, 2006	Jun 15, 2010 (1453 d)
Cain Benjamin Kobert	Piper Sandler & Co. no RAUM	Western Wealth Management LLC other	Other	Jun 23, 2006	Feb 9, 2015 (3153 d)
Daniel Paul Stolfa	Piper Sandler & Co. no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 23, 2006	Jun 16, 2006
Lindsey Brooke Michel	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Jun 23, 2006	Jun 20, 2006
Jeffrey Neil Feinberg	Piper Sandler & Co. no RAUM	Morgan Stanley Dw Inc. unclassified	Other	Jun 22, 2006	Jun 19, 2006
Steven Michael Knudsen	Piper Sandler & Co. no RAUM	Citigroup Global Markets Inc. other	Other	Jun 14, 2006	Jun 2, 2006
Paula Boyka	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Jun 5, 2006	Jul 7, 2006 (32 d)
Lisa A James	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Jun 5, 2006	Sep 22, 2006 (109 d)
Sterling Todd Warburton	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Jun 5, 2006	Jul 7, 2006 (32 d)
Julia Ann Finnicum	Piper Sandler & Co. no RAUM	Edward Jones national BD	Other	Jun 1, 2006	May 30, 2006
Sandy K Kim Berkram	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jun 1, 2006	May 30, 2006
Lawrence Clare Van Atta	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jun 1, 2006	May 30, 2006
Brian Francis Liberty	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	May 24, 2006	Jul 17, 2006 (54 d)
Norman Ralph Auger	Piper Sandler & Co. no RAUM	A. G. Edwards & Sons, Inc. unclassified	Other	May 24, 2006	May 26, 2006
Matthew Aaron Lester	Piper Sandler & Co. no RAUM	Trinity Capital Management, LLC state registered	Other	May 11, 2006	Aug 1, 2006 (82 d)
Daniel Patrick Mingo	Piper Sandler & Co. no RAUM	U.S. Bancorp Investments, Inc. other	Other	Apr 28, 2006	May 5, 2006
Ronny Inniger	Piper Sandler & Co. no RAUM	UBS Financial Services Inc. wirehouse	Other	Apr 5, 2006	Apr 5, 2006
Frank Patrick Anderes	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Apr 3, 2006	Mar 27, 2006

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174 moves match.