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 Piper Sandler & Co.

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
Peter Donald MartinCitigroup Global Markets Inc. otherPiper Sandler & Co. no RAUMOtherMay 13, 2004Apr 30, 2004
Erika Rane BiggsMcadams Wright Ragen, Inc. otherPiper Sandler & Co. no RAUMOtherApr 19, 2004Nov 15, 2004 (210 d)
Bryce Steven McconnellMorgan Stanley Dw Inc. unclassifiedPiper Sandler & Co. no RAUMOtherMar 5, 2004Mar 1, 2004
James Frank WilkinsonStrong Capital Management Inc unclassifiedPiper Sandler & Co. no RAUMOtherFeb 5, 2004Sep 26, 2005 (599 d)
John Carl PferdnerAmeriprise Advisor Services, Inc. unclassifiedPiper Sandler & Co. no RAUMOtherNov 21, 2003Dec 18, 2003
David Allen BorcherdingMML Investors Services, LLC otherPiper Sandler & Co. no RAUMOtherAug 14, 2003May 18, 2005 (643 d)
William Hunter WolbachUBS Financial Services Inc. wirehousePiper Sandler & Co. no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Aug 13, 2003Aug 1, 2003
Gary Lee ThramerMorgan Stanley Dw Inc. unclassifiedPiper Sandler & Co. no RAUMOtherAug 6, 2003Aug 27, 2003
Eric Clarence SeidlWells Fargo Advisors wirehousePiper Sandler & Co. no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Aug 5, 2003Aug 5, 2003
Riki Rachel BrewsterBanc Of America Securities LLC unclassifiedPiper Sandler & Co. no RAUMOtherJul 31, 2003Jun 14, 2004 (319 d)
Elizabeth Mcsorley WebbAmeriprise Financial Services, LLC national BDPiper Sandler & Co. no RAUMAffiliated broker-dealer or bank to a newly registered adviserJul 21, 2003Jul 22, 2003
Michael Anthony ColemanWells Fargo Investments, LLC unclassifiedPiper Sandler & Co. no RAUMOtherDec 10, 2002Dec 6, 2002
Ryan David SteenslandThe Family Office Of U.S. Bancorp Piper Jaffray LLC. unclassifiedPiper Sandler & Co. no RAUMOtherDec 9, 2002Nov 13, 2002
Jonathan Verden BeverMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehousePiper Sandler & Co. no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Dec 9, 2002Dec 6, 2002
Bret Dale FarringtonThe Family Office Of U.S. Bancorp Piper Jaffray LLC. unclassifiedPiper Sandler & Co. no RAUMOtherDec 9, 2002Nov 13, 2002
James Allen SandThe Family Office Of U.S. Bancorp Piper Jaffray LLC. unclassifiedPiper Sandler & Co. no RAUMOtherDec 9, 2002Nov 13, 2002
Ken Eugene KilmerMorgan Stanley Dw Inc. unclassifiedPiper Sandler & Co. no RAUMOtherDec 4, 2002Dec 16, 2002
Lisa Johnson RizzoRBC Capital Markets, LLC national BDPiper Sandler & Co. no RAUMAffiliated broker-dealer or bank to a newly registered adviserSep 25, 2002Sep 16, 2002
Daniel P DivineUBS Financial Services Inc. wirehousePiper Sandler & Co. no RAUMWirehouse to a newly registered adviser (no RAUM reported yet)Jul 29, 2002Sep 26, 2002 (59 d)
Wynn Erik HebdonCitigroup Global Markets Inc. otherPiper Sandler & Co. no RAUMOtherJun 6, 2002May 31, 2002
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80 moves match.