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	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Modesto, Ca	Wirehouse to affiliated broker-dealer or bank	Apr 30, 2018
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Overland Park, Ks	Wirehouse to affiliated broker-dealer or bank	Jan 26, 2018
3	Ameriprise Financial Services, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Grand Blanc, Mi	Affiliated broker-dealer or bank to another	Jan 19, 2018 over 3 d
4	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Flint, Mi	Wirehouse to affiliated broker-dealer or bank	Dec 14, 2017
2	Edward Jones national BD	Stifel, Nicolaus & Company, Incorporated national BD	Maryland Heights, Mo +1	Affiliated broker-dealer or bank to another	Nov 19, 2017 over 8 d
2	B. C. Ziegler And Company other	Stifel, Nicolaus & Company, Incorporated national BD	West Bend, Wi	Other	Sep 20, 2017
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Clearwater, Fl	Wirehouse to affiliated broker-dealer or bank	Aug 18, 2017
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Dallas, Tx	Wirehouse to affiliated broker-dealer or bank	Jun 19, 2017
2	Oppenheimer & Co. Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Greensboro, Nc	Other	Jun 16, 2017
3	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Madison, Wi	Wirehouse to affiliated broker-dealer or bank	May 9, 2017
2	Robert W. Baird & Co. Incorporated other	Stifel, Nicolaus & Company, Incorporated national BD	Seattle, Wa	Other	Mar 29, 2017
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Kalamazoo, Mi	Wirehouse to affiliated broker-dealer or bank	Feb 27, 2017
2	Rml Anderson Group, LLC unclassified	Stifel, Nicolaus & Company, Incorporated national BD	Madison, Wi	Other	Dec 20, 2016
4	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Northville, Mi +1	Wirehouse to affiliated broker-dealer or bank	Dec 15, 2016
2	Raymond James & Associates, Inc. national BD	Stifel, Nicolaus & Company, Incorporated national BD	Austin, Tx	Affiliated broker-dealer or bank to another	Dec 6, 2016 over 10 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Purchase, Ny +1	Wirehouse to affiliated broker-dealer or bank	Oct 19, 2016 over 7 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Waco, Tx	Wirehouse to affiliated broker-dealer or bank	Oct 12, 2016
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Decatur, Il	Wirehouse to affiliated broker-dealer or bank	Oct 11, 2016
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Chesterfield, Mo	Wirehouse to affiliated broker-dealer or bank	Sep 20, 2016
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Woodland Hills, Ca	Wirehouse to affiliated broker-dealer or bank	Sep 6, 2016
2	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Chicago, Il	Wirehouse to affiliated broker-dealer or bank	Aug 26, 2016
2	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Boston, Ma	Affiliated broker-dealer or bank to another	Aug 15, 2016
9	Oppenheimer & Co. Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Grand Rapids, Mi	Other	Aug 2, 2016 over 1 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Pittsford, Ny +1	Wirehouse to affiliated broker-dealer or bank	Jul 8, 2016
2	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Newport Beach, Ca	Affiliated broker-dealer or bank to another	Jun 22, 2016
2	Janney Montgomery Scott LLC other	Stifel, Nicolaus & Company, Incorporated national BD	New London, Ct	Other	Jun 21, 2016 over 7 d
4	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Stockton, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jun 10, 2016 over 7 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Kansas City, Mo	Wirehouse to affiliated broker-dealer or bank	May 27, 2016
3	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Sioux Falls, Sd	Wirehouse to affiliated broker-dealer or bank	Apr 19, 2016
3	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	New York, Ny	Wirehouse to affiliated broker-dealer or bank	Mar 21, 2016
3	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Hollidaysburg, Pa	Affiliated broker-dealer or bank to another	Mar 11, 2016
3	UBS Financial Services Inc. wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Cookeville, Tn	Wirehouse to affiliated broker-dealer or bank	Mar 11, 2016
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Woodbury, Ny	Wirehouse to affiliated broker-dealer or bank	Feb 26, 2016
4	Credit Suisse Securities (USA) LLC other	Stifel, Nicolaus & Company, Incorporated national BD	Dallas, Tx	Other	Feb 17, 2016 over 1 d
3	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Irvine, Ca	Wirehouse to affiliated broker-dealer or bank	Jan 19, 2016 over 3 d
2	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Redlands, Ca	Wirehouse to affiliated broker-dealer or bank	Jan 14, 2016
3	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Palm Beach, Fl	Wirehouse to affiliated broker-dealer or bank	Dec 7, 2015 over 3 d
2	RBC Capital Markets, LLC national BD	Stifel, Nicolaus & Company, Incorporated national BD	Mobile, Al	Affiliated broker-dealer or bank to another	Nov 12, 2015
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Newark, De	Wirehouse to affiliated broker-dealer or bank	Oct 30, 2015 over 3 d
3	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Honolulu, Hi	Wirehouse to affiliated broker-dealer or bank	Oct 28, 2015
5	Hilltop Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	San Diego, Ca	Other	Oct 12, 2015 over 11 d
5	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Tuscaloosa, Al +1	Wirehouse to affiliated broker-dealer or bank	Oct 2, 2015
3	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	San Diego, Ca +1	Wirehouse to affiliated broker-dealer or bank	Aug 3, 2015 over 4 d
2	Morgan Stanley wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Roseville, Ca	Wirehouse to affiliated broker-dealer or bank	Jun 4, 2015
2	D.A. Davidson & Co. other	Stifel, Nicolaus & Company, Incorporated national BD	Lewiston, Id +1	Other	Mar 12, 2015
2	D.A. Davidson & Co. other	Stifel, Nicolaus & Company, Incorporated national BD	Billings, Mt	Other	Mar 12, 2015
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	St Joseph, Mi	Wirehouse to affiliated broker-dealer or bank	Feb 9, 2015
3	Oppenheimer & Co. Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Los Angeles, Ca	Other	Feb 4, 2015 over 1 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	Beverly Hills, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jan 6, 2015 over 10 d

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229 teams match.derived from registration dates