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 |
|---|---|---|---|---|---|
| Naoko M Thigpen | Stifel, Nicolaus & Company, Incorporated national BD | Rw Investment Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2023 | May 22, 2023 (74 d) |
| Stacy M Nelson | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2023 | Mar 1, 2023 |
| Denise Bunton | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2023 | Mar 30, 2023 |
| Chance Corbot Franklin | Stifel, Nicolaus & Company, Incorporated national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2023 | Feb 13, 2023 |
| Andrew Schroeder | Stifel, Nicolaus & Company, Incorporated national BD | Hamilton Capital independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2023 | Mar 14, 2023 |
| Keith Wesley Blades | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Feb 27, 2023 | Feb 20, 2023 |
| Natasha Marie Sparks | Stifel, Nicolaus & Company, Incorporated national BD | Thurston Springer Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2023 | Nov 6, 2025 (983 d) |
| Debra D Szymanski | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2023 | Feb 2, 2023 |
| Zachary Silver | Stifel, Nicolaus & Company, Incorporated national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 30, 2023 | Mar 6, 2023 (35 d) |
| Jonathan Hugh Register | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 24, 2023 | Jan 20, 2023 |
| Susan Conaty Yaba | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 24, 2023 | Jan 20, 2023 |
| Leonard Francis Marzigliano | Stifel, Nicolaus & Company, Incorporated national BD | The Pinnacle Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2023 | Mar 20, 2023 (55 d) |
| Robert Leroy Menard III | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 24, 2023 | Feb 9, 2023 |
| Christopher Moffitt Yount | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 24, 2023 | Jan 23, 2023 |
| John Damrich | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 24, 2023 | Jan 20, 2023 |
| Sandra Diane Dose | Stifel, Nicolaus & Company, Incorporated national BD | Elevation Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2023 | Aug 23, 2023 (217 d) |
| Linda Lee Abbott | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 22, 2022 | Jan 19, 2023 |
| Brian Mcafee | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 19, 2022 | Jan 31, 2023 (43 d) |
| Sneha Jose | Stifel, Nicolaus & Company, Incorporated national BD | Citi Private Advisory, LLC asset manager | Other | Dec 19, 2022 | Jan 9, 2023 |
| Spencer Cole | Stifel, Nicolaus & Company, Incorporated national BD | Fintrust Capital Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2022 | Nov 21, 2022 |
| Karen Marie Starr | Stifel, Nicolaus & Company, Incorporated national BD | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 18, 2022 | Mar 28, 2023 (130 d) |
| Lanh Nguyen | Stifel, Nicolaus & Company, Incorporated national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 17, 2022 | Mar 14, 2023 (117 d) |
| Charles Leroy Butler | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2022 | Nov 1, 2022 |
| Audrey Porter | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2022 | Nov 29, 2022 |
| Michael John Wolke | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 2, 2022 | Oct 19, 2022 |
| Viola Hubert | Stifel, Nicolaus & Company, Incorporated national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2022 | Jan 18, 2023 (78 d) |
| Avri Rae Bitz | Stifel, Nicolaus & Company, Incorporated national BD | Stifel Independent Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2022 | Nov 1, 2022 |
| Jaime L Cutler | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 24, 2022 | Nov 16, 2022 |
| Joshua Thomas Horton | Stifel, Nicolaus & Company, Incorporated national BD | Big Sky Wealth Advisors, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 20, 2022 | Oct 3, 2022 |
| Lisa Oconnor | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2022 | Oct 19, 2022 |
| Sarah Ann Ward | Stifel, Nicolaus & Company, Incorporated national BD | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2022 | Oct 28, 2022 |
| Benjamin Schleicher | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 18, 2022 | Dec 7, 2022 (50 d) |
| Tracy Belinda Rinaldi | Stifel, Nicolaus & Company, Incorporated national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2022 | Oct 13, 2022 |
| Howard Kaplan | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2022 | Oct 7, 2022 |
| Peter George Krinas | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2022 | Oct 7, 2022 |
| Nyarai Rebecca Moore | Stifel, Nicolaus & Company, Incorporated national BD | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 13, 2022 | Oct 21, 2022 |
| Richard Joseph Kneip | Stifel, Nicolaus & Company, Incorporated national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Oct 11, 2022 | Sep 29, 2022 |
| Evans Copeland | Stifel, Nicolaus & Company, Incorporated national BD | Piper Sandler & Co. institutional | Other | Sep 30, 2022 | Sep 27, 2024 (728 d) |
| Ross Edward Billows | Stifel, Nicolaus & Company, Incorporated national BD | Western Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2022 | Sep 9, 2022 |
| Trevor John Czerniejewski | Stifel, Nicolaus & Company, Incorporated national BD | Cadaret Grant & Co Inc BD affiliated | Affiliated broker-dealer or bank to another | Sep 15, 2022 | Sep 8, 2022 |
| Lawrence D. Brown | Stifel, Nicolaus & Company, Incorporated national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2022 | Sep 12, 2022 |
| Justin Jarvis | Stifel, Nicolaus & Company, Incorporated national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2022 | Aug 23, 2022 |
| Peter S Jacobs | Stifel, Nicolaus & Company, Incorporated national BD | Tschetter Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2022 | Aug 18, 2022 |
| Carrie Jean Robson | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 22, 2022 | Aug 5, 2022 |
| Henry Zee Persons | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 19, 2022 | Aug 19, 2022 |
| Sarah Nicole Hillis | Stifel, Nicolaus & Company, Incorporated national BD | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 9, 2022 | Aug 11, 2022 |
| William Lawrence Holden | Stifel, Nicolaus & Company, Incorporated national BD | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Jul 28, 2022 |
| Thomas H. Lazenby | Stifel, Nicolaus & Company, Incorporated national BD | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Jul 28, 2022 |
| James Douglas Odonnell | Stifel, Nicolaus & Company, Incorporated national BD | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Jan 12, 2023 (163 d) |
| Ryan John-Boedges Godier | Stifel, Nicolaus & Company, Incorporated national BD | Assetmark, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2022 | Jan 8, 2026 (1255 d) |
| Raul Acevedo | Stifel, Nicolaus & Company, Incorporated national BD | Lido independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2022 | Aug 5, 2022 |
| Steven Jake Wignall | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jul 27, 2022 | Jul 18, 2022 |
| Phillip Lee Trueblood | Stifel, Nicolaus & Company, Incorporated national BD | Trueblood Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2022 | Mar 1, 2023 (236 d) |
| Anita Ravani | Stifel, Nicolaus & Company, Incorporated national BD | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2022 | Jul 11, 2022 |
| Scott Michael Rogowicz | Stifel, Nicolaus & Company, Incorporated national BD | Confluence Financial Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2022 | Jun 13, 2022 |
| Vincent Larosa | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 28, 2022 | Aug 25, 2022 (58 d) |
| George Howard Williams | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 16, 2022 | Jun 10, 2022 |
| Jill Barkley | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 14, 2022 | Jun 20, 2022 |
| Ryan Matthew Laux | Stifel, Nicolaus & Company, Incorporated national BD | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 1, 2022 | Aug 2, 2022 (62 d) |
| Jonathan Dale Peters | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 16, 2022 | Apr 20, 2022 |
1,278 moves match.