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 |
|---|---|---|---|---|---|
| Aaron Delano James | Stifel, Nicolaus & Company, Incorporated national BD | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2023 | Nov 9, 2023 (41 d) |
| Richard J Bettger | Stifel, Nicolaus & Company, Incorporated national BD | Moneta Group Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2023 | Feb 8, 2024 (132 d) |
| Katrina Mcnairy | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 29, 2023 | Oct 5, 2023 |
| Alexander Scott Barnett | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 29, 2023 | Sep 22, 2023 |
| Zachary Allen Knox | Stifel, Nicolaus & Company, Incorporated national BD | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2023 | Sep 19, 2023 |
| Mary K. Steiner | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Sep 11, 2023 |
| Jennifer Leigh Sherman | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Sep 15, 2023 |
| Troy Lynn Rames | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Sep 11, 2023 |
| Amanda Joy Feldkamp | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 13, 2023 | Sep 11, 2023 |
| Mariolia E Kozubovska | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2023 | Sep 21, 2023 |
| Mandi Jo Freeman Dillon | Stifel, Nicolaus & Company, Incorporated national BD | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 7, 2023 | Oct 20, 2023 (43 d) |
| William Wells Van Pelt | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2023 | Aug 2, 2023 |
| Patricia Carroll Van Pelt | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2023 | Aug 21, 2023 |
| Summer Verdugo | Stifel, Nicolaus & Company, Incorporated national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 24, 2023 | Sep 20, 2023 |
| Richard Eugene Borish | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2023 | Jul 28, 2023 |
| William Agan | Stifel, Nicolaus & Company, Incorporated national BD | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2023 | Aug 22, 2023 |
| Erica Jean Williams | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 14, 2023 | Aug 16, 2023 |
| Megan Brooke Kiziah | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 28, 2023 | Jul 2, 2025 (705 d) |
| Samuel Long | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2023 | Jul 15, 2025 (718 d) |
| John James Mchale | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2023 | Jul 13, 2023 |
| Ryan Ashley Stewart | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2023 | Jul 13, 2023 |
| Glenn Samuel Frank | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2023 | Jul 17, 2023 |
| Gr Brent Hartsough | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Jun 30, 2023 |
| Mitchell Roy Kramer | Stifel, Nicolaus & Company, Incorporated national BD | Mitchell Kramer Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 11, 2023 | Oct 1, 2024 (448 d) |
| Shaun Walton | Stifel, Nicolaus & Company, Incorporated national BD | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 11, 2023 | Jun 29, 2023 |
| Randi Nicole Howard | Stifel, Nicolaus & Company, Incorporated national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2023 | Dec 16, 2023 (176 d) |
| Veronica Ann Zamora | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 13, 2023 | May 23, 2023 |
| Mark Joseph Vavruska | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 12, 2023 | May 19, 2023 |
| Walter Thomas Wandall | Stifel, Nicolaus & Company, Incorporated national BD | 100 Plus Planning state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 31, 2023 | Mar 15, 2024 (289 d) |
| Laura Kane | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 31, 2023 | Jun 5, 2023 |
| Melissa Kenshalo | Stifel, Nicolaus & Company, Incorporated national BD | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2023 | Sep 15, 2023 (120 d) |
| Eric N Beeler | Stifel, Nicolaus & Company, Incorporated national BD | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2023 | May 1, 2023 |
| Jason Minh Lam | Stifel, Nicolaus & Company, Incorporated national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2023 | May 12, 2023 |
| Nathaniel Jamil Carlon | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2023 | Apr 25, 2023 |
| Michael Joseph Perrone | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 5, 2023 | Apr 26, 2023 |
| Kyle Snyder | Stifel, Nicolaus & Company, Incorporated national BD | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2023 | May 16, 2023 |
| Jonathan Emile Carlon | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 5, 2023 | Apr 25, 2023 |
| Nora Christova Brazier | Stifel, Nicolaus & Company, Incorporated national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2023 | May 15, 2023 |
| Heidi Marie Rogan | Stifel, Nicolaus & Company, Incorporated national BD | Buckingham Strategic Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 11, 2023 | Oct 26, 2023 (198 d) |
| Jonathan Michael Miner | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 29, 2023 | Apr 20, 2023 |
| Andrew D Grombala | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 24, 2023 | Apr 12, 2023 |
| Kaid Koester | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 27, 2023 |
| Richard Frederick Reimers | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2023 | Mar 16, 2023 |
| Terry Paul Leffew | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Apr 13, 2023 |
| Thomas James Pence | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| Christopher Dale Gaddis | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Apr 13, 2023 |
| Ronald Andrew Leblanc | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Mar 23, 2023 |
| Jeffrey Scott Cohen | Stifel, Nicolaus & Company, Incorporated national BD | Knall/Cohen Investments, LLC unclassified | Other | Mar 17, 2023 | Jan 10, 2007 |
| Jamie B Ratner Rich | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| Eduardo Michael Aguirre | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| James Mclaughlin Knall | Stifel, Nicolaus & Company, Incorporated national BD | Knall/Cohen Investments, LLC unclassified | Other | Mar 17, 2023 | Dec 21, 2007 |
| Joshua Shneyderov | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Apr 12, 2023 |
| Michael James Hall | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| Patrick J O'Marro | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| Kathleen Murphy O'Marro | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2023 | Jul 18, 2024 (489 d) |
| Timothy W Jansen | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| Connor Paul Kucera | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 17, 2023 | Feb 17, 2023 |
| Thomas Christopher Knipp | Stifel, Nicolaus & Company, Incorporated national BD | Sapient Capital LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2023 | Nov 10, 2023 (238 d) |
| Ali M Schmitt | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2023 | Jul 8, 2024 (479 d) |
| Michael Robert Marston | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 14, 2023 | Mar 6, 2023 |
1,278 moves match.