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
Kelli Marie Popp	A. G. Edwards & Sons, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 21, 2004	May 21, 2004
Jason Eric Korff	Ameriprise Financial Services, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Aug 25, 2003	Aug 26, 2003
Alphonse Bautista	MML Investors Services, LLC other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 22, 2003	Jun 30, 2003
Shawn R Burger	Ameriprise Financial Services, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 18, 2003	Sep 9, 2003 (53 d)
Mitchell Steven Avnet	Wells Fargo Advisors wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jul 9, 2003	Apr 11, 2007 (1372 d)
Christina Sun Lee	Ameriprise Financial Services, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 23, 2003	Aug 13, 2003 (51 d)
Salvatore Joseph Petetti	Citigroup Global Markets Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 3, 2003	May 27, 2003
John Jesse Pinto	Citigroup Global Markets Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 3, 2003	May 23, 2003
Thomas Joseph Cunningham	RBC Capital Markets, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	May 5, 2003	Jun 4, 2003
Casey V Rice	Morgan Stanley Dw Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Apr 30, 2003	Jun 10, 2003 (41 d)
Matthew R. Petty	Morgan Stanley Dw Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 26, 2003	Jun 6, 2003 (100 d)
Jeremy Eric Luse	Banc One Securities Corporation unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Feb 14, 2003	Jun 21, 2013 (3780 d)
David Woloff	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Nov 15, 2002	Aug 15, 2003 (273 d)
Mesmin Pelerin	Citigroup Global Markets Inc. other	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 19, 2002	Feb 8, 2003 (142 d)
Harold Joseph Beshaw	Equitable Advisors, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Sep 16, 2002	Sep 13, 2002
Yvette H Turnbaugh	Natcity Investments, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Aug 14, 2002	Aug 9, 2002
John Varghese Cholankeril	Prudential Equity Group, LLC unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Aug 9, 2002	Jun 11, 2003 (306 d)
Steven Lowell Smith	Ameriprise Financial Services, LLC national BD	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 24, 2002	Jul 30, 2002 (36 d)
William Michael Mcdonald	E*Trade Advisory Services, Inc. unclassified	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 7, 2002	Oct 25, 2005 (1236 d)
John Burton Myres	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	J.J.B. Hilliard, W.L. Lyons, LLC other	Other	Jun 5, 2002	May 19, 2003 (348 d)

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200 moves match.