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

Arrivals at Stephens

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.

AdvisorFromToTypeLeftRegistered
Benjamin Hollis PenixRaymond James & Associates, Inc. national BDStephens otherOtherMar 5, 2015Mar 3, 2015
Brian Todd ErwinAmeriprise Financial Services, LLC national BDStephens otherOtherOct 31, 2014Oct 24, 2014
Kimberly Dawn SmithMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherSep 5, 2014Sep 4, 2014
Amy Elizabeth JacobsMorgan Stanley wirehouseStephens otherOtherJun 18, 2014Jun 11, 2014
Michael R. HardisonMorgan Stanley wirehouseStephens otherOtherJun 18, 2014Jun 11, 2014
Lynn Michelle RogersMorgan Stanley wirehouseStephens otherOtherJun 18, 2014Jun 11, 2014
Michael Ray HardisonMorgan Stanley wirehouseStephens otherOtherJun 18, 2014Jun 11, 2014
Hollis Thruston HoukUBS Financial Services Inc. wirehouseStephens otherOtherJun 13, 2014Jun 5, 2014
Jana Calender BurkeUBS Financial Services Inc. wirehouseStephens otherOtherJun 13, 2014Jun 18, 2014
Montague Laffitte BoydUBS Financial Services Inc. wirehouseStephens otherOtherJun 13, 2014Jun 5, 2014
Brenda Sebren Gee GoudeauMorgan Stanley wirehouseStephens otherOtherMay 20, 2014May 14, 2014
Bruce Charles GoudeauMorgan Stanley wirehouseStephens otherOtherMay 20, 2014May 14, 2014
Samuel LeesMorgan Stanley wirehouseStephens otherOtherFeb 26, 2014Feb 14, 2014
Jeffrey Lane MonsourMorgan Stanley wirehouseStephens otherOtherFeb 26, 2014Feb 14, 2014
Craig Neyland LangMorgan Stanley wirehouseStephens otherOtherFeb 21, 2014Feb 14, 2014
Vickie Lynn ChrismanMorgan Stanley wirehouseStephens otherOtherFeb 21, 2014Feb 14, 2014
Dustin Russ JenkinsHutchinson Financial, Inc. otherStephens otherOtherFeb 10, 2014Feb 11, 2014
Julie Harris SandersWells Fargo Advisors wirehouseStephens otherOtherNov 26, 2013Nov 25, 2013
James Charles AughenbaughMorgan Stanley wirehouseStephens otherOtherJun 28, 2013Jun 10, 2013
Hillman Zell JonesArvest Wealth Management otherStephens otherOtherApr 30, 2013May 6, 2013
Joel Brent AkersArvest Wealth Management otherStephens otherOtherApr 30, 2013May 6, 2013
Kimberley Gayle CarterArvest Wealth Management otherStephens otherOtherApr 30, 2013Apr 4, 2013
Edward Allen MoodyRBC Capital Markets, LLC national BDStephens otherOtherDec 10, 2012Nov 12, 2012
Beverley Randolph DunlapWells Fargo Advisors wirehouseStephens otherOtherOct 15, 2012Oct 17, 2012
Henry Willis BashoreMorgan Stanley wirehouseStephens otherOtherOct 5, 2012Sep 21, 2012
Roland Markel CastleMorgan Stanley wirehouseStephens otherOtherSep 21, 2012Sep 17, 2012
Edgar Longette MorrisMorgan Stanley wirehouseStephens otherOtherSep 21, 2012Sep 10, 2012
Paul Kelly LoyaconoMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherJul 23, 2012Jul 20, 2012
Gary Lee PendryWells Fargo Advisors wirehouseStephens otherOtherJun 13, 2012Jun 12, 2012
Ashley Neil MooreMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherMay 9, 2012May 8, 2012
Jeffrey Alan LewisWells Fargo Advisors wirehouseStephens otherOtherMay 2, 2012May 1, 2012
Thomas Victor ZeuthenMorgan Stanley wirehouseStephens otherOtherMar 20, 2012Mar 16, 2012
Seth Anthony StewartMorgan Stanley wirehouseStephens otherOtherMar 20, 2012Mar 16, 2012
Bryan Geoffrey CookMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherFeb 21, 2012Feb 16, 2012
William Robin ColeMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherFeb 21, 2012Feb 16, 2012
Arthur BuringMorgan Stanley wirehouseStephens otherOtherFeb 6, 2012Jan 23, 2012
John E KimbroughMorgan Stanley wirehouseStephens otherOtherFeb 6, 2012Jan 23, 2012
Jeffrey Paul ColbathMorgan Stanley wirehouseStephens otherOtherJan 19, 2012Jan 31, 2012
Jeremy Allen LohmanThrivent Investment Management Inc. otherStephens otherOtherJan 18, 2012Jan 17, 2012
Cage Brewer CarruthersWells Fargo Advisors wirehouseStephens otherOtherJan 17, 2012Jan 6, 2012
John Cooper MickleMorgan Stanley wirehouseStephens otherOtherDec 23, 2011Dec 5, 2011
James Donald ColbourneMorgan Stanley wirehouseStephens otherOtherDec 22, 2011Jan 19, 2012
Paul David ZuckermanMorgan Stanley wirehouseStephens otherOtherNov 4, 2011Oct 28, 2011
Sandra Clay McdearmanLPL Financial LLC otherStephens otherOtherOct 11, 2011Sep 15, 2011
Henry Harrison GrovesMorgan Stanley wirehouseStephens otherOtherSep 13, 2011Apr 10, 2014 (940 d)
Christopher A WiltseMorgan Stanley wirehouseStephens otherOtherAug 5, 2011Aug 1, 2011
Edgar Wadsworth StuartMorgan Stanley wirehouseStephens otherOtherMay 5, 2011Apr 29, 2011
Terra Hall SniderMorgan Stanley wirehouseStephens otherOtherApr 21, 2011Apr 15, 2011
James Eugene HolmesDeutsche Bank Securities Inc. otherStephens otherOtherApr 4, 2011Mar 11, 2011
William Ben JamesMorgan Stanley wirehouseStephens otherOtherMar 11, 2011Feb 18, 2011
Richard Leo SullivanMorgan Stanley wirehouseStephens otherOtherFeb 7, 2011Feb 9, 2011
Richard Ovid RogersMorgan Stanley wirehouseStephens otherOtherJan 27, 2011Jan 18, 2011
Mary Cecelia GriggMorgan Stanley wirehouseStephens otherOtherJan 27, 2011Jan 18, 2011
Joann Sofis WhiteMorgan Stanley wirehouseStephens otherOtherNov 29, 2010Nov 15, 2010
Donnie George WhisenhuntMorgan Stanley wirehouseStephens otherOtherNov 8, 2010Nov 5, 2015 (1823 d)
Jane S GoodyearMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherOct 6, 2010Oct 15, 2010
Paul Dennis WayMorgan Stanley wirehouseStephens otherOtherSep 21, 2010Sep 10, 2010
Waymon Reuben TiptonMorgan Stanley wirehouseStephens otherOtherJul 22, 2010Jul 16, 2010
James Archibald HardisonMorgan Stanley wirehouseStephens otherOtherJul 22, 2010Jul 13, 2010
Dino Arthur CorontzesMorgan Stanley wirehouseStephens otherOtherJun 28, 2010Jun 4, 2010
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175 moves match.