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 |
|---|---|---|---|---|---|
| Stephen Patrick Murphy | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 13, 2021 | Jul 28, 2021 |
| Aaron Delsignore | Stifel, Nicolaus & Company, Incorporated national BD | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2021 | Sep 15, 2021 (35 d) |
| Damon Chase Newsom | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 6, 2021 | Jul 21, 2021 |
| Elizabeth A. Thorpe | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 6, 2021 | Aug 13, 2021 |
| Jeffrey Alan Bannon | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 6, 2021 | Jul 21, 2021 |
| Jared Spencer Brent | Stifel, Nicolaus & Company, Incorporated national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 5, 2021 | Jul 22, 2021 |
| Mark J Webster | Stifel, Nicolaus & Company, Incorporated national BD | Moneta Group Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2021 | Jul 13, 2021 |
| Darrah Lynette Tomas | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 23, 2021 | Jul 12, 2021 |
| Paul A Hees | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 16, 2021 | Jul 9, 2021 |
| Edward Craig Wingrove | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2021 | Jul 6, 2021 |
| Thomas James Madden | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 9, 2021 | Jul 2, 2021 |
| Ann Adair Connolly | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2021 | Jul 6, 2021 |
| Aaron James Connolly | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2021 | Jul 6, 2021 |
| Eric Estelle | Stifel, Nicolaus & Company, Incorporated national BD | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2021 | Jun 15, 2021 |
| Serena Rizzo | Stifel, Nicolaus & Company, Incorporated national BD | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2021 | Oct 12, 2021 (110 d) |
| Megan Brooke Kiziah | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 16, 2021 | Jul 6, 2021 |
| Daniel Louis Carmo | Stifel, Nicolaus & Company, Incorporated national BD | Tempus Wealth Planning, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2021 | May 28, 2021 |
| Joseph A Long | Stifel, Nicolaus & Company, Incorporated national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2021 | Sep 15, 2022 (465 d) |
| Robert J Smith | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2021 | Jul 29, 2021 (52 d) |
| Jennifer Ann Spiece | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 27, 2021 | Jun 3, 2021 |
| Daniel Thomas Scalzi | Stifel, Nicolaus & Company, Incorporated national BD | Brookstone Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2021 | Jun 4, 2021 |
| Jesse Jimerson | Stifel, Nicolaus & Company, Incorporated national BD | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2021 | Jun 9, 2021 |
| Jessica Ann Ems | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 10, 2021 | May 13, 2021 |
| Armand J Depaul | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | May 10, 2021 | Jun 3, 2021 |
| Vincent Ryan Rodriguez | Stifel, Nicolaus & Company, Incorporated national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2021 | Aug 3, 2021 (85 d) |
| Andrew Christopher Galvin | Stifel, Nicolaus & Company, Incorporated national BD | The Premier Advisory Group, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 10, 2021 | Jun 22, 2021 (43 d) |
| Jonathan Ray Guillen | Stifel, Nicolaus & Company, Incorporated national BD | Confidence Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 | Jun 23, 2021 (54 d) |
| Dylan Thomas Gray | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 26, 2021 | Jan 11, 2022 (260 d) |
| Paige Alexa Ottenbrite | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 26, 2021 | Apr 29, 2021 |
| Brandon Travis Harris | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 23, 2021 | Apr 23, 2021 |
| Melinda Lee Schad | Stifel, Nicolaus & Company, Incorporated national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Apr 15, 2021 | Apr 13, 2021 |
| Shannon Divalerio | Stifel, Nicolaus & Company, Incorporated national BD | Stancorp Investment Advisers, Inc. other | Other | Apr 15, 2021 | Jan 5, 2022 (265 d) |
| Jennifer Rebecca Schwarze | Stifel, Nicolaus & Company, Incorporated national BD | Bates Financial Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2021 | May 3, 2021 |
| Richard Arthur Hearn | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 15, 2021 | Jun 16, 2021 (62 d) |
| Erin M Mccarty | Stifel, Nicolaus & Company, Incorporated national BD | Independent Advisor Alliance, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2021 | Apr 26, 2021 |
| Joshua Michael Quail | Stifel, Nicolaus & Company, Incorporated national BD | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2021 | Mar 29, 2021 |
| Donna Marie Kelly | Stifel, Nicolaus & Company, Incorporated national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2021 | Nov 12, 2021 (214 d) |
| Ryan Alfred Mccartney | Stifel, Nicolaus & Company, Incorporated national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 12, 2021 | Jun 24, 2021 (73 d) |
| Aaron Dale Chamberlin | Stifel, Nicolaus & Company, Incorporated national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2021 | Apr 1, 2021 |
| Joseph Patrick Scanlon | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 25, 2021 | Mar 19, 2021 |
| Angela Lyons | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2021 | Sep 17, 2026 (2022 d) |
| Ying Zhao | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2021 | Mar 26, 2021 |
| William Miller | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2021 | Aug 26, 2024 (1270 d) |
| Anthony Edward Sementelli | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2021 | Jun 29, 2021 (125 d) |
| James Edward Daly | Stifel, Nicolaus & Company, Incorporated national BD | Bluering Advisors, Inc state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 19, 2021 | Nov 1, 2021 (255 d) |
| Kenneth Robert Reeves | Stifel, Nicolaus & Company, Incorporated national BD | Egi Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2021 | Mar 1, 2021 |
| Keith Anthony Robben | Stifel, Nicolaus & Company, Incorporated national BD | Benjamin F. Edwards & Company, Incorporated BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2021 | May 18, 2021 (88 d) |
| Alex Boatman | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2021 | Jan 19, 2021 |
| John T Kendall | Stifel, Nicolaus & Company, Incorporated national BD | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 15, 2021 | Jan 12, 2021 |
| Jeffery C Stewart | Stifel, Nicolaus & Company, Incorporated national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 15, 2021 | Jan 8, 2021 |
| Joseph Rene Vasquez | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 15, 2021 | Jan 4, 2021 |
| Michael J Grzeda | Stifel, Nicolaus & Company, Incorporated national BD | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Mar 11, 2021 (70 d) |
| Rajesh Gulrajani | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 24, 2020 | Dec 15, 2020 |
| Brenda Marie Duggan | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2020 | Mar 2, 2021 (85 d) |
| Ghazaleh Kayvan Ebrahimi | Stifel, Nicolaus & Company, Incorporated national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2020 | Jan 5, 2026 (1867 d) |
| Michael Giordano | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 25, 2020 | Nov 4, 2020 |
| Jennifer Peiffer | Stifel, Nicolaus & Company, Incorporated national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 25, 2020 | May 10, 2021 (166 d) |
| Rolfe Robert Young | Stifel, Nicolaus & Company, Incorporated national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Nov 6, 2020 |
| Robert Gene Heisterberg | Stifel, Nicolaus & Company, Incorporated national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 11, 2020 | Oct 26, 2020 |
| Justin Ausher | Stifel, Nicolaus & Company, Incorporated national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 26, 2020 | Oct 23, 2020 |
1,278 moves match.