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 joined 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	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Cookeville, Tn	Wirehouse to affiliated broker-dealer or bank	Jan 21, 2020
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Indianapolis, In	Wirehouse to affiliated broker-dealer or bank	Jan 13, 2020
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Seal Beach, Ca +1	Wirehouse to affiliated broker-dealer or bank	Dec 6, 2019 over 5 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Beverly, Ma +1	Wirehouse to affiliated broker-dealer or bank	Nov 15, 2019 over 4 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Escondido, Ca +1	Wirehouse to affiliated broker-dealer or bank	Nov 6, 2019
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Southbury, Ct	Wirehouse to affiliated broker-dealer or bank	Nov 4, 2019
5	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Barrington, Il +1	Wirehouse to affiliated broker-dealer or bank	Nov 1, 2019 over 17 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Pittsford, Ny	Wirehouse to affiliated broker-dealer or bank	Oct 23, 2019 over 1 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Fort Worth, Tx +1	Wirehouse to affiliated broker-dealer or bank	Oct 23, 2019
2	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Bend, Or	Wirehouse to affiliated broker-dealer or bank	Oct 21, 2019
6	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Frontenac, Mo	Wirehouse to affiliated broker-dealer or bank	Oct 7, 2019
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Macon, Ga	Wirehouse to affiliated broker-dealer or bank	Oct 7, 2019
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Asheville, Nc +1	Wirehouse to affiliated broker-dealer or bank	Sep 30, 2019 over 9 d
4	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Los Angeles, Ca +1	Wirehouse to affiliated broker-dealer or bank	Sep 16, 2019 over 7 d
4	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Tallahassee, Fl	Wirehouse to affiliated broker-dealer or bank	Aug 26, 2019 over 3 d
3	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Hot Springs, Ar +1	Wirehouse to affiliated broker-dealer or bank	Jul 22, 2019 over 1 d
4	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Tacoma, Wa	Affiliated broker-dealer or bank to another	Jul 8, 2019
2	Janney Montgomery Scott LLC BD affiliated	Stifel, Nicolaus & Company, Incorporated national BD	Garden City, Ny	Affiliated broker-dealer or bank to another	Jun 24, 2019
2	Steward Partners Investment Solutions, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	Medford, Or	RIA to affiliated broker-dealer or bank	Jun 20, 2019
4	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Pittsburgh, Pa +1	Wirehouse to affiliated broker-dealer or bank	Jun 17, 2019 over 10 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	East Lansing, Mi +1	Wirehouse to affiliated broker-dealer or bank	Jun 14, 2019
3	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Newport Beach, Ca +2	Wirehouse to affiliated broker-dealer or bank	Jun 12, 2019
6	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Sugar Land, Tx +3	Wirehouse to affiliated broker-dealer or bank	May 31, 2019 over 7 d
4	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Redding, Ca +1	Wirehouse to affiliated broker-dealer or bank	May 13, 2019 over 8 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Dallas, Tx	Wirehouse to affiliated broker-dealer or bank	Apr 22, 2019
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Canfield, Oh +1	Wirehouse to affiliated broker-dealer or bank	Apr 17, 2019 over 1 d
2	Oppenheimer & Co. Inc. BD affiliated	Stifel, Nicolaus & Company, Incorporated national BD	Birmingham, Mi	Affiliated broker-dealer or bank to another	Apr 12, 2019
3	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Newport Beach, Ca	Wirehouse to affiliated broker-dealer or bank	Apr 5, 2019 over 3 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Temecula, Ca +1	Wirehouse to affiliated broker-dealer or bank	Apr 4, 2019 over 1 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Rapid City, Sd	Wirehouse to affiliated broker-dealer or bank	Apr 4, 2019
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	New York, Ny	Wirehouse to affiliated broker-dealer or bank	Apr 1, 2019
2	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	Winstonsalem, Nc	RIA to affiliated broker-dealer or bank	Mar 20, 2019
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Austin, Tx	Wirehouse to affiliated broker-dealer or bank	Mar 4, 2019
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Trabuco Canyon, Ca +2	Wirehouse to affiliated broker-dealer or bank	Feb 26, 2019
5	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Cincinnati, Oh	Wirehouse to affiliated broker-dealer or bank	Feb 25, 2019 over 4 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Columbus, Oh +1	Wirehouse to affiliated broker-dealer or bank	Feb 21, 2019
4	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Cincinnati, Oh +1	Wirehouse to affiliated broker-dealer or bank	Feb 4, 2019 over 9 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Fort Worth, Tx +1	Wirehouse to affiliated broker-dealer or bank	Jan 22, 2019
4	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Cincinnati, Oh +1	Wirehouse to affiliated broker-dealer or bank	Jan 18, 2019
2	Miller-Green Financial Services LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	Houston, Tx	RIA to affiliated broker-dealer or bank	Dec 31, 2018
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Binghamton, Ny	Wirehouse to affiliated broker-dealer or bank	Dec 21, 2018
2	J.J.B. Hilliard, W.L. Lyons, LLC independent RIA	Stifel, Nicolaus & Company, Incorporated national BD	Memphis, Tn	RIA to affiliated broker-dealer or bank	Dec 7, 2018
3	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Troy, Mi +1	Wirehouse to affiliated broker-dealer or bank	Nov 27, 2018
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Wooster, Oh	Wirehouse to affiliated broker-dealer or bank	Nov 19, 2018
2	Raymond James & Associates, Inc. national BD	Stifel, Nicolaus & Company, Incorporated national BD	Greenville, Sc	Affiliated broker-dealer or bank to another	Nov 9, 2018
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Naples, Fl +1	Wirehouse to affiliated broker-dealer or bank	Nov 3, 2018 over 2 d
2	Raymond James & Associates, Inc. national BD	Stifel, Nicolaus & Company, Incorporated national BD	Scottsdale, Az	Affiliated broker-dealer or bank to another	Oct 10, 2018
3	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Garden City, Ny +2	Wirehouse to affiliated broker-dealer or bank	Oct 4, 2018 over 8 d
4	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Hickory, Nc	Wirehouse to affiliated broker-dealer or bank	Sep 25, 2018 over 1 d
6	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Bourbonnais, Il	Wirehouse to affiliated broker-dealer or bank	Sep 17, 2018 over 2 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Modesto, Ca	Wirehouse to affiliated broker-dealer or bank	Sep 11, 2018
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Oklahoma City, Ok	Wirehouse to affiliated broker-dealer or bank	Sep 11, 2018
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Louisville, Ky	Wirehouse to affiliated broker-dealer or bank	Sep 4, 2018 over 2 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Port Huron, Mi	Wirehouse to affiliated broker-dealer or bank	Aug 28, 2018
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Modesto, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jul 30, 2018 over 14 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Lawton, Ok	Wirehouse to affiliated broker-dealer or bank	Jul 3, 2018 over 6 d
3	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Irvine, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jun 27, 2018 over 9 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Newport Beach, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jun 25, 2018
5	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Redding, Ca +2	Wirehouse to affiliated broker-dealer or bank	May 18, 2018 over 12 d
3	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Portland, Or	Wirehouse to affiliated broker-dealer or bank	May 1, 2018

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229 teams match.derived from registration dates