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
Brian Christopher FrerichsMorgan Stanley wirehouseStephens otherOtherJun 28, 2010Jun 4, 2010
Vincent Edward CaineMorgan Stanley wirehouseStephens otherOtherMay 28, 2010Aug 15, 2011 (444 d)
Louis Gregory FrascognaMorgan Stanley wirehouseStephens otherOtherMay 24, 2010May 10, 2010
Charles Robert LongEdward Jones national BDStephens otherOtherNov 11, 2009Nov 11, 2009
Ken Hall BarnettWells Fargo Advisors wirehouseStephens otherOtherJun 2, 2009Jun 1, 2009
Jerry David GlazeWells Fargo Advisors wirehouseStephens otherOtherApr 21, 2009Apr 21, 2009
Shawn Patrick KenneyWells Fargo Advisors wirehouseStephens otherOtherApr 17, 2009Apr 16, 2009
Mark Edward DuttonMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherApr 6, 2009Apr 3, 2009
James Edward BrainMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherApr 6, 2009Apr 3, 2009
Keith Arnn WestmorelandMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherApr 6, 2009Apr 3, 2009
Ralph Mckinley CrossMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherMar 23, 2009Mar 20, 2009
Dierk Lane CockrellMorgan Keegan & Company, LLC otherStephens otherOtherJan 15, 2009Jan 14, 2009
Jeffrey Lynn GreenWells Fargo Advisors wirehouseStephens otherOtherAug 28, 2008Aug 15, 2008
Cynthia J LewisWells Fargo Advisors wirehouseStephens otherOtherAug 28, 2008Aug 15, 2008
Joseph Clay YoungWells Fargo Advisors wirehouseStephens otherOtherAug 28, 2008Aug 15, 2008
Stacy Carol JenningsWells Fargo Advisors wirehouseStephens otherOtherAug 28, 2008Aug 15, 2008
John Thomas GayWells Fargo Advisors wirehouseStephens otherOtherAug 27, 2008Aug 15, 2008
Timothy Garry FitzgeraldWells Fargo Advisors wirehouseStephens otherOtherAug 27, 2008Aug 15, 2008
Michael Stephen SciallaA. G. Edwards & Sons, Inc. unclassifiedStephens BD affiliatedOtherDec 3, 2007Jan 8, 2024 (5880 d)
James Bernard PooleCitigroup Global Markets Inc. otherStephens otherOtherDec 20, 2006Dec 19, 2006
Glenda Gail McconnegheyWells Fargo Advisors wirehouseStephens otherOtherDec 13, 2006Dec 14, 2006
John Steven PilandMorgan Stanley Dw Inc. unclassifiedStephens otherOtherDec 8, 2006Mar 19, 2007 (101 d)
Tara Margaret BuenoInvesco Aim Private Asset Management, Inc. unclassifiedStephens otherOtherOct 9, 2006Sep 25, 2006
John Spencer WhitmanUBS Financial Services Inc. wirehouseStephens otherOtherSep 12, 2006Oct 2, 2006
Cynthia S BurgerUBS Financial Services Inc. wirehouseStephens otherOtherSep 12, 2006Aug 31, 2006
Julie Elizabeth HallCitigroup Global Markets Inc. otherStephens otherOtherJul 21, 2006Jul 13, 2006
Christopher Thomas SmithCitigroup Global Markets Inc. otherStephens otherOtherJul 18, 2006Jul 13, 2006
Thomas C MossCitigroup Global Markets Inc. otherStephens otherOtherJul 18, 2006Jul 13, 2006
William Gilmore Simms OliphantCitigroup Global Markets Inc. otherStephens otherOtherJul 18, 2006Jul 13, 2006
Landrum Hazel HendersonCitigroup Global Markets Inc. otherStephens otherOtherFeb 27, 2006Feb 23, 2006
Brian Thomas ObremskiLegg Mason Wood Walker, Incorporated unclassifiedStephens otherOtherFeb 13, 2006Jan 13, 2006
Alexandra ForteLegg Mason Wood Walker, Incorporated unclassifiedStephens otherOtherFeb 13, 2006Jan 13, 2006
Charles Joseph NobleLegg Mason Wood Walker, Incorporated unclassifiedStephens otherOtherFeb 13, 2006Jan 13, 2006
Alison Rowe IglehartLegg Mason Wood Walker, Incorporated unclassifiedStephens otherOtherJan 31, 2006Jan 19, 2006
Christopher Dane MahoneyLegg Mason Wood Walker, Incorporated unclassifiedStephens otherOtherJan 31, 2006Jan 18, 2006
Ronald Patrick CameronMorgan Stanley Dw Inc. unclassifiedStephens otherOtherDec 9, 2005Dec 2, 2005
Frank Patrick WhiteInvesco Aim Private Asset Management, Inc. unclassifiedStephens otherOtherOct 3, 2005Oct 10, 2005
Christopher Baxter JonesUBS Financial Services Inc. wirehouseStephens otherOtherSep 22, 2005Aug 26, 2005
Reginald George PickralDavenport & Company LLC otherStephens otherOtherSep 16, 2005Sep 13, 2005
Alexander Vaughan BrandScott & Stringfellow, LLC otherStephens otherOtherFeb 1, 2005Feb 1, 2005
Giles Augustus CoorsUBS Financial Services Inc. wirehouseStephens otherOtherSep 13, 2004Aug 23, 2004
John Joseph ColcoloughUBS Financial Services Inc. wirehouseStephens otherOtherSep 13, 2004Aug 23, 2004
Mark Coe PendergrastRaymond James & Associates, Inc. national BDStephens otherOtherAug 10, 2004Nov 2, 2004 (84 d)
Briant Charles NolandMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherAug 9, 2004Aug 9, 2004
Jonny David WaddleMorgan Stanley Dw Inc. unclassifiedStephens otherOtherJul 20, 2004Mar 26, 2007 (979 d)
Andrew Alexander MathesWilliam R. Hough & Co. unclassifiedStephens otherOtherFeb 27, 2004Mar 29, 2004 (31 d)
Marion Walker FulkMorgan Stanley Dw Inc. unclassifiedStephens otherOtherFeb 3, 2004Jan 30, 2004
John Michael WalkerMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherDec 11, 2003Dec 5, 2003
Louis Gordon WilsonWells Fargo Advisors wirehouseStephens otherOtherOct 13, 2003Apr 28, 2014 (3850 d)
Brete Ballard GarlandMorgan Keegan & Company, LLC otherStephens BD affiliatedOtherAug 27, 2003Sep 16, 2019 (5864 d)
Bentley Edward BlackmonMorgan Stanley Dw Inc. unclassifiedStephens otherOtherFeb 4, 2003Feb 1, 2003
James Short CashmoreWilliam R. Hough & Co. unclassifiedStephens otherOtherDec 31, 2002Nov 16, 2004 (686 d)
Frank Oliver SloanUBS Financial Services Inc. wirehouseStephens otherOtherDec 17, 2002Dec 9, 2002
William Walker BowmanMorgan Keegan & Company, LLC otherStephens otherOtherSep 6, 2002May 11, 2004 (613 d)
Gary Lynn WilliamsMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseStephens otherOtherAug 13, 2002Aug 13, 2002
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175 moves match.