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
Margaret Wade Johnson	Piper Sandler & Co. no RAUM	Smh Capital Advisors LLC other	Other	Dec 5, 2003	Feb 18, 2004 (75 d)
Michael Allan Isola	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Dec 1, 2003	Nov 24, 2003
Mary Johnson Howard	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Nov 26, 2003	Nov 17, 2003
Sydney Sue Sutkus	Piper Sandler & Co. no RAUM	Morgan Stanley Dw Inc. unclassified	Other	Nov 12, 2003	Nov 5, 2003
Michael Robert Mcdonald	Piper Sandler & Co. no RAUM	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 31, 2003	Nov 24, 2003
Douglas Lee Holtmeier	Piper Sandler & Co. no RAUM	Sunamerica Securities, Inc. unclassified	Other	Oct 20, 2003	Feb 12, 2004 (115 d)
John Phillip Carney	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Oct 9, 2003	Sep 29, 2003
Jeffrey Lawrence Gibbons	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Oct 3, 2003	Sep 24, 2003
Mary Louise Gibbons	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Oct 3, 2003	Sep 24, 2003
Jeffrey Michael Ahrens	Piper Sandler & Co. no RAUM	Gunnallen Financial, Inc unclassified	Other	Oct 1, 2003	Sep 13, 2003
John Eugene Marty	Piper Sandler & Co. no RAUM	Gunnallen Financial, Inc unclassified	Other	Sep 24, 2003	Sep 13, 2003
Deann Kay Thompson	Piper Sandler & Co. no RAUM	Edward Jones national BD	Other	Sep 23, 2003	Jan 17, 2007 (1212 d)
Willington Tai Fong	Piper Sandler & Co. no RAUM	Gunnallen Financial, Inc unclassified	Other	Sep 23, 2003	Sep 13, 2003
Kevin Christopher Hook	Piper Sandler & Co. no RAUM	Gunnallen Financial, Inc unclassified	Other	Sep 23, 2003	Sep 12, 2003
Gary Scott Demera	Piper Sandler & Co. no RAUM	Gunnallen Financial, Inc unclassified	Other	Sep 18, 2003	Sep 13, 2003
Jeffery Lynn Dishman	Piper Sandler & Co. no RAUM	Qa3 Financial LLC unclassified	Other	Sep 17, 2003	Sep 18, 2003
Ronald Stephan Phillips	Piper Sandler & Co. no RAUM	Stifel Independent Advisors, LLC other	Other	Sep 17, 2003	Sep 8, 2003
John Christopher Kelly	Piper Sandler & Co. no RAUM	Spectrum Capital, LLC unclassified	Other	Aug 29, 2003	Oct 31, 2003 (63 d)
John Robert Shelton	Piper Sandler & Co. no RAUM	Oppenheimer & Co. Inc. other	Other	Aug 26, 2003	Feb 2, 2004 (160 d)
Jeffrey Donald Thiesen	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Aug 14, 2003	Aug 8, 2003
Lance Eric Dueker	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Aug 14, 2003	Aug 8, 2003
Daniel Rees King	Piper Sandler & Co. no RAUM	U.S. Bancorp Investments, Inc. other	Other	Jul 8, 2003	May 15, 2003
Mark Casey Sears	Piper Sandler & Co. no RAUM	U.S. Bancorp Investments, Inc. other	Other	Jul 3, 2003	Dec 2, 2004 (518 d)
Tracey Lynn Mclain	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Jun 13, 2003	May 30, 2003
Christopher Michael O'Neill	Piper Sandler & Co. no RAUM	Equitable Advisors, LLC national BD	Other	Jun 10, 2003	Jun 10, 2003
John Harvey Heil	Piper Sandler & Co. no RAUM	Sentra Securities Corporation unclassified	Other	May 29, 2003	May 29, 2003
John William Lee	Piper Sandler & Co. no RAUM	Citigroup Global Markets Inc. other	Other	May 14, 2003	May 2, 2003
James Edward Gracia	Piper Sandler & Co. no RAUM	U.S. Bancorp Investments, Inc. other	Other	May 1, 2003	May 15, 2003
Robert Earl Stanlick	Piper Sandler & Co. no RAUM	Forta Financial Group, Inc. other	Other	Apr 30, 2003	Nov 15, 2004 (565 d)
Michael Christopher Marzolf	Piper Sandler & Co. no RAUM	Columbia Management Investment Advisers, LLC other	Other	Apr 10, 2003	Jan 31, 2014 (3949 d)
David Westlund	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Mar 31, 2003	Mar 20, 2003
Steven Dean Devenney	Piper Sandler & Co. no RAUM	Raymond James & Associates, Inc. national BD	Other	Mar 31, 2003	Mar 20, 2003
James William Phillips	Piper Sandler & Co. no RAUM	Citigroup Global Markets Inc. other	Other	Mar 24, 2003	Mar 25, 2003
Angela Kartchner Phillips	Piper Sandler & Co. no RAUM	Citigroup Global Markets Inc. other	Other	Mar 18, 2003	Mar 21, 2003
Brian Douglas Westlund	Piper Sandler & Co. no RAUM	Mcadams Wright Ragen, Inc. other	Other	Mar 18, 2003	Mar 28, 2003
Randy Jay Johnston	Piper Sandler & Co. no RAUM	Partners Capital Management, Inc. unclassified	Other	Mar 11, 2003	Feb 28, 2003
Jeffrey Scott Toman	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Feb 18, 2003	Feb 5, 2003
John Timothy Buckley	Piper Sandler & Co. no RAUM	The Caprock Group, LLC other	Other	Jan 15, 2003	Feb 10, 2003
Brandee Lynn Schuelke	Piper Sandler & Co. no RAUM	The Caprock Group, LLC other	Other	Jan 15, 2003	Feb 10, 2003
Mike Mcmillen	Piper Sandler & Co. no RAUM	The Caprock Group, LLC other	Other	Jan 14, 2003	Feb 10, 2003
David Michael Suntken	Piper Sandler & Co. no RAUM	LPL Financial LLC other	Other	Dec 16, 2002	Dec 6, 2002
Susan Regina Mitchell	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Dec 3, 2002	Nov 18, 2002
Victoria Anne Nelson	Piper Sandler & Co. no RAUM	1717 Capital Management Company unclassified	Other	Nov 25, 2002	Feb 4, 2003 (71 d)
Richard Eugene Borish	Piper Sandler & Co. no RAUM	A. G. Edwards & Sons, Inc. unclassified	Other	Nov 13, 2002	Oct 31, 2002
Offer Ben Tidhar	Piper Sandler & Co. no RAUM	Morgan Stanley Dw Inc. unclassified	Other	Oct 16, 2002	Sep 22, 2003 (341 d)
Kristopher Bjorn Henrikson	Piper Sandler & Co. no RAUM	Edward Jones national BD	Other	Sep 27, 2002	Nov 8, 2006 (1503 d)
Lance Shigeo Ichikawa	Piper Sandler & Co. no RAUM	Charles Schwab & Co., Inc. national BD	Other	Sep 3, 2002	Jul 10, 2003 (310 d)
Kirk Alan Abrahamson	Piper Sandler & Co. no RAUM	RBC Capital Markets, LLC national BD	Other	Sep 3, 2002	Aug 16, 2002
Philip Nelson Hegg	Piper Sandler & Co. no RAUM	A. G. Edwards & Sons, Inc. unclassified	Other	Aug 21, 2002	Mar 19, 2007 (1671 d)
R. L Lawrence	Piper Sandler & Co. no RAUM	Citigroup Global Markets Inc. other	Other	Aug 5, 2002	Aug 5, 2002
Douglas Gabriel Kuntz	Piper Sandler & Co. no RAUM	Pruco Securities, LLC other	Other	Jul 16, 2002	Sep 25, 2014 (4454 d)
Fermin John Padilla	Piper Sandler & Co. no RAUM	UBS Financial Services Inc. wirehouse	Other	Jul 15, 2002	Jun 28, 2002
Scott Walter Forsyth	Piper Sandler & Co. no RAUM	Adrian & Associates Inc unclassified	Other	Jul 12, 2002	Oct 10, 2002 (90 d)
Robert Alan Wolter	Piper Sandler & Co. no RAUM	Wells Fargo Advisors wirehouse	Other	Jul 10, 2002	Jun 13, 2002

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174 moves match.