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 teams

Teams that left Stifel, Nicolaus & Company, Incorporated

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
2	Stifel, Nicolaus & Company, Incorporated national BD	Golden Wealth Management independent RIA	Wilkesbarre, Pa	Affiliated broker-dealer or bank to independent RIA	Jan 30, 2019
2	Stifel, Nicolaus & Company, Incorporated national BD	Raymond James & Associates, Inc. national BD	Colorado Springs, Co	Affiliated broker-dealer or bank to another	Nov 29, 2018
2	Stifel, Nicolaus & Company, Incorporated national BD	Raymond James Financial Services Advisors, Inc BD affiliated	Grand Rapids, Mi	Affiliated broker-dealer or bank to another	Nov 1, 2018
4	Stifel, Nicolaus & Company, Incorporated national BD	Janney Montgomery Scott LLC BD affiliated	Yardley, Pa	Affiliated broker-dealer or bank to another	Jun 21, 2018
2	Stifel, Nicolaus & Company, Incorporated national BD	Morgan Stanley wirehouse	Indianapolis, In	Affiliated broker-dealer or bank to wirehouse	May 11, 2018 over 7 d
2	Stifel, Nicolaus & Company, Incorporated national BD	Raymond James Financial Services Advisors, Inc BD affiliated	St Louis, Mo	Affiliated broker-dealer or bank to another	May 8, 2018
2	Stifel, Nicolaus & Company, Incorporated national BD	Raymond James Financial Services Advisors, Inc BD affiliated	St Louis, Mo	Affiliated broker-dealer or bank to another	Apr 5, 2018
2	Stifel, Nicolaus & Company, Incorporated national BD	Wells Fargo Advisors wirehouse	Chicago, Il	Affiliated broker-dealer or bank to wirehouse	Mar 15, 2018
2	Stifel, Nicolaus & Company, Incorporated national BD	Egi Financial, Inc. other	Fairlawn, Oh	Other	Jan 19, 2018 over 6 d
2	Stifel, Nicolaus & Company, Incorporated national BD	True North Retirement Advisors, LLC no RAUM	Portland, Or	Affiliated broker-dealer or bank to a newly registered adviser	Jan 11, 2018
3	Stifel, Nicolaus & Company, Incorporated national BD	Benjamin F. Edwards & Company, Incorporated other	Naperville, Il	Other	Nov 17, 2017
2	Stifel, Nicolaus & Company, Incorporated national BD	Morgan Stanley wirehouse	Indianapolis, In	Affiliated broker-dealer or bank to wirehouse	Aug 25, 2017
3	Stifel, Nicolaus & Company, Incorporated national BD	J.P. Morgan Securities LLC wirehouse	Los Angeles, Ca	Affiliated broker-dealer or bank to wirehouse	Jul 28, 2017
2	Stifel, Nicolaus & Company, Incorporated national BD	Wells Fargo Advisors wirehouse	Longview, Tx	Affiliated broker-dealer or bank to wirehouse	Nov 3, 2016
3	Stifel, Nicolaus & Company, Incorporated national BD	RBC Capital Markets, LLC national BD	Hackensack, Nj	Affiliated broker-dealer or bank to another	Sep 29, 2016
2	Stifel, Nicolaus & Company, Incorporated national BD	Janney Montgomery Scott LLC other	White Plains, Ny	Other	Aug 3, 2016
2	Stifel, Nicolaus & Company, Incorporated national BD	Hilltop Securities Inc. other	Dallas, Tx	Other	Jul 28, 2016
3	Stifel, Nicolaus & Company, Incorporated national BD	D.A. Davidson & Co. other	Bozeman, Mt	Other	Mar 8, 2016
2	Stifel, Nicolaus & Company, Incorporated national BD	Cary Street Partners other	Nashville, Tn	Other	Feb 23, 2016
2	Stifel, Nicolaus & Company, Incorporated national BD	Raymond James & Associates, Inc. national BD	Kahului, Hi +1	Affiliated broker-dealer or bank to another	Feb 18, 2016
2	Stifel, Nicolaus & Company, Incorporated national BD	LPL Financial LLC other	Chico, Ca	Other	Jan 12, 2016
2	Stifel, Nicolaus & Company, Incorporated national BD	Wells Fargo Advisors wirehouse	Marlton, Nj +1	Affiliated broker-dealer or bank to wirehouse	Nov 9, 2015 over 1 d
2	Stifel, Nicolaus & Company, Incorporated national BD	Wells Fargo Advisors wirehouse	Overland Park, Ks	Affiliated broker-dealer or bank to wirehouse	Oct 16, 2015
2	Stifel, Nicolaus & Company, Incorporated national BD	RBC Capital Markets, LLC national BD	New York, Ny	Affiliated broker-dealer or bank to another	Aug 3, 2015
2	Stifel, Nicolaus & Company, Incorporated national BD	Ameriprise Financial Services, LLC national BD	Morristown, Nj	Affiliated broker-dealer or bank to another	Aug 3, 2015
4	Stifel, Nicolaus & Company, Incorporated national BD	Wedbush Securities Inc. other	Traverse City, Mi	Other	Jun 10, 2015
2	Stifel, Nicolaus & Company, Incorporated national BD	Raymond James Financial Services Advisors, Inc other	Green Bay, Wi	Other	Feb 26, 2015 over 1 d
2	Stifel, Nicolaus & Company, Incorporated national BD	Rede Wealth, LLC no RAUM	Charlottesville, Va	Affiliated broker-dealer or bank to a newly registered adviser	Jan 22, 2015

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88 teams match.derived from registration dates