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 Stifel, Nicolaus & Company, Incorporated
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 |
|---|---|---|---|---|---|
| Christopher Byron Graper | Stifel, Nicolaus & Company, Incorporated national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2019 | Jan 6, 2020 |
| Gary H Ford | Stifel, Nicolaus & Company, Incorporated national BD | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2019 | Mar 2, 2020 (98 d) |
| Thomas Duchild | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 25, 2019 | Feb 19, 2020 (86 d) |
| Peter Crellin Smith | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Nov 8, 2019 |
| Bennett Whitney Smith | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Nov 8, 2019 |
| Leann Nicole Trampe | Stifel, Nicolaus & Company, Incorporated national BD | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Dec 16, 2019 (31 d) |
| Maureen Johanna Dodd | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 8, 2019 | Feb 11, 2020 (95 d) |
| Bruce Malcolm Averback | Stifel, Nicolaus & Company, Incorporated national BD | Thurston Springer Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2019 | Nov 24, 2020 (385 d) |
| William Reilley Herf | Stifel, Nicolaus & Company, Incorporated national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Nov 1, 2019 | Oct 21, 2019 |
| Michael George Graham | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 1, 2019 | Nov 7, 2019 |
| Manuel A Palan | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2019 | Oct 17, 2019 |
| Timothy Patrick Anderson | Stifel, Nicolaus & Company, Incorporated national BD | Delta Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2019 | Apr 18, 2024 (1637 d) |
| Pamela Annette Glaser | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2019 | Oct 17, 2019 |
| Daniel S Soshnik | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2019 | Oct 17, 2019 |
| Toby John Svoboda | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2019 | Oct 17, 2019 |
| Jeffery W. Leathers | Stifel, Nicolaus & Company, Incorporated national BD | Fbl Wealth Management, LLC no RAUM | Other | Oct 25, 2019 | Oct 18, 2019 |
| Brittany Parker | Stifel, Nicolaus & Company, Incorporated national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2019 | Nov 13, 2019 |
| Diane L Ross | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 18, 2019 | Oct 11, 2019 |
| Robert A Ferraro | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 18, 2019 | Oct 11, 2019 |
| Melanie Rivera | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 18, 2019 | Nov 1, 2019 |
| Jason Adam Orlosky | Stifel, Nicolaus & Company, Incorporated national BD | Bridgeway Wealth Partners, LLC other | Other | Oct 18, 2019 | Sep 10, 2020 (328 d) |
| Antone Doman Mercurio | Stifel, Nicolaus & Company, Incorporated national BD | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Oct 11, 2019 | Oct 4, 2019 |
| Stacey Vincent-Flores | Stifel, Nicolaus & Company, Incorporated national BD | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2019 | Oct 11, 2019 |
| Bryce Bell | Stifel, Nicolaus & Company, Incorporated national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Oct 11, 2019 | Oct 2, 2019 |
| Scott James Metzner | Stifel, Nicolaus & Company, Incorporated national BD | Stifel Independent Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2019 | Oct 1, 2019 |
| Terry Lee Hoover | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2019 | Sep 5, 2019 |
| Angela Denise Muckler | Stifel, Nicolaus & Company, Incorporated national BD | Focus Advisor Solutions, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2019 | Oct 30, 2019 (35 d) |
| Benjamin Krich | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 25, 2019 | Oct 11, 2019 |
| Michael S Mccracken | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2019 | Oct 1, 2019 |
| Matthew Richard Wischmeier | Stifel, Nicolaus & Company, Incorporated national BD | Stifel Independent Advisors, LLC other | Other | Sep 4, 2019 | Jun 12, 2015 |
| Matthew Tyler Beck | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2019 | Oct 11, 2019 (43 d) |
| Trisha G Keller | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 22, 2019 | Jan 9, 2023 (1236 d) |
| Terry A Goss | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2019 | Aug 28, 2019 |
| Christopher Richard Halpin | Stifel, Nicolaus & Company, Incorporated national BD | Stancorp Investment Advisers, Inc. other | Other | Aug 15, 2019 | Jan 12, 2021 (516 d) |
| Michael Duane Krmpotich | Stifel, Nicolaus & Company, Incorporated national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2019 | Aug 6, 2019 |
| Thomas Edward Gilbers | Stifel, Nicolaus & Company, Incorporated national BD | Aldrich Wealth LP mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 7, 2019 | Jan 15, 2020 (161 d) |
| Louis Portnoy | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2019 | Jul 26, 2019 |
| James A Mcmahon | Stifel, Nicolaus & Company, Incorporated national BD | Watts Capital Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2019 | Aug 1, 2019 |
| Beverly Vernon Bishop | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 23, 2019 | Jul 16, 2019 |
| Paul Fagyal | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 23, 2019 | Feb 4, 2022 (927 d) |
| Joseph Merit Duvall | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 23, 2019 | Jul 26, 2019 |
| Tyler James Miller | Stifel, Nicolaus & Company, Incorporated national BD | Capital Client Group, Inc. no RAUM | Other | Jul 18, 2019 | Aug 5, 2019 |
| John Swift Lyle | Stifel, Nicolaus & Company, Incorporated national BD | Jeffrey Matthews Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2019 | Jul 12, 2019 |
| Kyle F Luetters | Stifel, Nicolaus & Company, Incorporated national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 12, 2019 | Jul 30, 2019 |
| Frank Carl Story | Stifel, Nicolaus & Company, Incorporated national BD | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2019 | Jul 5, 2019 |
| Matthew Thomas Walker | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2019 | Jul 18, 2019 |
| Kimberly Robinson | Stifel, Nicolaus & Company, Incorporated national BD | Buckingham Strategic Wealth, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2019 | Jul 22, 2019 |
| Chad Allen Heberly | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 9, 2019 | Jun 21, 2019 |
| Michael Rodriguez | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 20, 2019 | Jun 20, 2019 |
| Courtney J. Walls | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 20, 2019 | Jul 22, 2019 (32 d) |
| Traci Renee Henderson | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2019 | Jul 3, 2019 |
| Tom Tartt Brown | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2019 | Jun 7, 2019 |
| Cara Renee Puccio | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2019 | Jun 26, 2019 |
| Taylor Tennison Boice | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 10, 2019 | Sep 27, 2019 (109 d) |
| Anthony Lewis | Stifel, Nicolaus & Company, Incorporated national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 4, 2019 | Feb 5, 2024 (1707 d) |
| Brent Robbs | Stifel, Nicolaus & Company, Incorporated national BD | Larson Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2019 | May 12, 2021 (708 d) |
| Eric Neuwirth | Stifel, Nicolaus & Company, Incorporated national BD | The Pinnacle Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 4, 2019 | Oct 8, 2025 (2318 d) |
| Meghan E. Donahoe | Stifel, Nicolaus & Company, Incorporated national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 16, 2019 | Jun 24, 2019 (39 d) |
| Lisa A Somers | Stifel, Nicolaus & Company, Incorporated national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2019 | Apr 16, 2019 |
| Joseph William Hudek | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 3, 2019 | May 8, 2019 |
1,278 moves match.