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.
Teams that left Stephens
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 4 | Stephens BD affiliated | Rockefeller Capital Management BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Dec 22, 2025 |
| 9 | Stephens BD affiliated | Stephens Investment Management Group, LLC asset manager | Houston, Tx | Other | Dec 22, 2023 |
| 2 | Stephens BD affiliated | Raymond James & Associates, Inc. national BD | Ridgeland, Ms | Affiliated broker-dealer or bank to another | Jul 31, 2023 |
| 2 | Stephens BD affiliated | Wells Fargo Advisors wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Jul 7, 2023 |
| 3 | Stephens BD affiliated | Lees Monsour Group no RAUM | Shreveport, La | Affiliated broker-dealer or bank to a newly registered adviser | Mar 30, 2022 over 6 d |
| 2 | Stephens BD affiliated | Independent Advisor Alliance, LLC independent RIA | Columbia, Sc | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2022 |
| 2 | Stephens BD affiliated | Independent Advisor Alliance, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Oct 14, 2021 over 5 d |
| 2 | Stephens BD affiliated | Rockefeller Capital Management BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Sep 7, 2021 |
| 4 | Stephens BD affiliated | Naviter Wealth, LLC no RAUM | Little Rock, Ar | Affiliated broker-dealer or bank to a newly registered adviser | Jan 29, 2021 |
| 2 | Stephens BD affiliated | Wells Fargo Advisors wirehouse | Winstonsalem, Nc | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2019 |
| 3 | Stephens other | Benjamin F. Edwards & Company, Incorporated other | Jonesboro, Ar | Other | Aug 9, 2017 |
| 2 | Stephens other | Benjamin F. Edwards & Company, Incorporated other | Jonesboro, Ar | Other | Sep 15, 2016 |
| 2 | Stephens other | Janney Montgomery Scott LLC other | Columbia, Sc | Other | Feb 2, 2015 |