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 J.J.B. Hilliard, W.L. Lyons, LLC

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
David Campbell Bugg	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 18, 2009	Mar 17, 2009
Gavin T. Gleason	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 11, 2009	Mar 6, 2009
Darrin Blake Rudolph	Woodbury Financial Services, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 12, 2009	Feb 6, 2009
Barton Drew Rudolph	Woodbury Financial Services, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 12, 2009	Feb 6, 2009
Amy H Sullivan	M Holdings Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 10, 2009	Apr 6, 2010 (420 d)
Michael Sean Spainhour	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 2, 2009	Jan 30, 2009
Lester Russell Kefauver	Edward Jones national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 31, 2009	Feb 26, 2009
Jeffrey Wayne Tooley	Cetera Investment Services LLC other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 21, 2009	Jan 16, 2009
Daniel Lee Kay	Ferris, Baker Watts, LLC unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 5, 2009	Jan 7, 2009
Matthew Richard Bush	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Dec 15, 2008	Dec 5, 2008
Yano Karim Touma	Natcity Investments, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Dec 5, 2008	Dec 8, 2008
Kimberly Ann Mankin	Raymond James Financial Services, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Nov 24, 2008	Feb 19, 2009 (87 d)
John Jeremy Edge	Raymond James & Associates, Inc. national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Nov 24, 2008	Nov 17, 2008
Anne Cole Billings	Morgan Keegan & Company, LLC other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Oct 9, 2008	Oct 9, 2008
Nicholas Anthony Pfeiffer	UBS Financial Services Inc. wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Oct 3, 2008	Sep 23, 2008
Shaun William Patrick Chelf	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 30, 2008	Sep 26, 2008
Laura Jean Clark	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 30, 2008	Sep 26, 2008
Michael James Snyder	UBS Financial Services Inc. wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 29, 2008	Sep 19, 2008
Terrence William Hosty	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 26, 2008	Sep 23, 2008
Brendan Ryan Hosty	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 26, 2008	Sep 19, 2008
James Phillip Roberts	Ameriprise Financial Services, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 11, 2008	Sep 17, 2008
Travis Allen Kuntz	Equitable Advisors, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Aug 26, 2008	Mar 16, 2009 (202 d)
Christopher J Bolle	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 23, 2008	Aug 25, 2009 (398 d)
Chung Kuo Lieu	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 3, 2008	Jul 14, 2008
Eugene Cliff Richardson	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 14, 2008	May 9, 2008
James Scott Morrison	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 14, 2008	May 9, 2008
Adam Eugene Richardson	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 14, 2008	May 9, 2008
Crystal Nicole Davis	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 14, 2008	May 9, 2008
Thomas Scott Widener	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 26, 2008	Jul 23, 2010 (849 d)
James Patrick Kent	Chase Investment Services Corp. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 31, 2008	Feb 5, 2008
Jennifer Jo Brown	Thrivent Investment Management Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 14, 2008	Jan 18, 2008
Brenton E Ditto	Pnc Wealth Management other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 7, 2007	Jun 20, 2007
Michelle Veronica Vanover	A. G. Edwards & Sons, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 6, 2007	Mar 5, 2008 (273 d)
Anne Marie Brandon	Morgan Stanley & Co. LLC unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 4, 2007	Aug 13, 2013 (2262 d)
Brent Lyn Denker	Wealthtrust Advisors unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 14, 2007	Feb 6, 2007
Jason Dimitri Nicoloff	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 12, 2007	Jan 10, 2007
Michael Jason Marcotte	United Securities Alliance, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Dec 15, 2006	Jan 17, 2007 (33 d)
Timothy Todd Oetken	Uvest Financial Services Group, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Dec 1, 2006	Jan 24, 2007 (54 d)
Bryan Clark Pope	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Oct 20, 2006	Jan 31, 2017 (3756 d)
William Francis Hartmann	A. G. Edwards & Sons, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 27, 2006	Sep 25, 2006
Christopher Joseph Tapak	A. G. Edwards & Sons, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 7, 2006	Jun 30, 2006
John Everett Bennett	Morgan Stanley Dw Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 22, 2006	Jun 1, 2006
Heath Edward Scott	Bb&T Investment Services, Inc. no RAUM	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Apr 25, 2006	May 4, 2006
John William Drummey	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 21, 2006	Feb 2, 2006
Stephen James Fish	Pnc Wealth Management other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 20, 2006	Jan 24, 2006
Matthew Alan Westhafer	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 20, 2006	Jan 11, 2006
Jason Daniel Jones	Pnc Wealth Management other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 20, 2006	Jan 24, 2006
Carla Sue Dresel	Pnc Wealth Management other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jan 20, 2006	Jan 24, 2006
Thomas Kevin Kyle	Stifel, Nicolaus & Company, Incorporated national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Oct 24, 2005	Oct 21, 2005
Michael Anthony Loth	Morgan Stanley Dw Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Oct 10, 2005	Oct 11, 2005
John Edward Shetterly	Legg Mason Wood Walker, Incorporated unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 23, 2005	Oct 6, 2005
Thomas Craig Moore	Pnc Wealth Management other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 25, 2005	Jul 22, 2005
Anthony Charles Larosa	A. G. Edwards & Sons, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 14, 2005	Jul 12, 2005
Jeffrey Allen Lutz	Legg Mason Wood Walker, Incorporated unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 23, 2005	Jun 20, 2005
Jay Douglas Otto	Legg Mason Wood Walker, Incorporated unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 22, 2005	Jun 20, 2005
Mark John Zipfel	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 23, 2005	May 10, 2005 (48 d)
Eric John Zipfel	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 23, 2005	May 10, 2005 (48 d)
Neil C Zipfel	Fifth Third Securities, Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 23, 2005	May 10, 2005 (48 d)
Robert Joseph Standish	Goldman Sachs Wealth Services, L.P. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Mar 7, 2005	Oct 14, 2003
James Mcginley Jefferson	Bb&T Asset Management, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 30, 2004	Jan 12, 2005 (166 d)

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200 moves match.