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 joined Stifel Independent Advisors, LLC
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 |
|---|---|---|---|---|---|
| 3 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Roseburg, Or | Wirehouse to affiliated broker-dealer or bank | Feb 12, 2024 |
| 4 | LPL Financial LLC BD affiliated | Stifel Independent Advisors, LLC BD affiliated | Joliet, Il +1 | Affiliated broker-dealer or bank to another | Jan 31, 2024 |
| 2 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Salt Lake City, Ut | Wirehouse to affiliated broker-dealer or bank | Jul 5, 2023 |
| 2 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | St Petersburg, Fl | Wirehouse to affiliated broker-dealer or bank | May 24, 2023 |
| 2 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Lake Oswego, Or | Wirehouse to affiliated broker-dealer or bank | Nov 14, 2022 |
| 3 | Morgan Stanley wirehouse | Stifel Independent Advisors, LLC BD affiliated | The Woodlands, Tx | Wirehouse to affiliated broker-dealer or bank | Oct 26, 2022 over 7 d |
| 3 | RBC Capital Markets, LLC national BD | Stifel Independent Advisors, LLC BD affiliated | Hunt Valley, Md | Affiliated broker-dealer or bank to another | Oct 25, 2022 |
| 2 | Edward Jones national BD | Stifel Independent Advisors, LLC BD affiliated | Kennett, Mo +1 | Affiliated broker-dealer or bank to another | Sep 7, 2022 |
| 3 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Venice, Fl | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2022 |
| 3 | Ameriprise Financial Services, LLC national BD | Stifel Independent Advisors, LLC BD affiliated | Edinboro, Pa | Affiliated broker-dealer or bank to another | Apr 28, 2022 over 4 d |
| 7 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Pasadena, Ca +3 | Wirehouse to affiliated broker-dealer or bank | Apr 19, 2022 over 6 d |
| 2 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Coupeville, Wa | Wirehouse to affiliated broker-dealer or bank | Feb 14, 2022 |
| 3 | Wells Fargo Advisors wirehouse | Stifel Independent Advisors, LLC BD affiliated | Landrum, Sc | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2021 |