DFX Intelligence

Advisors’ outside businesses

Companies registered advisors disclosed as outside business on Form U4, each looked up as a company in public records. Reviewed for advisors in the recruiting lists first; more are added as their disclosures are reviewed.

Companies

3,469 reviewed

CrumpInsurance
Non-variable insurance/insurance agency
UT · 4 advisors
DECIDEDLY WEALTH MANAGEMENTPractice brand
Registered rep activities through Kestra Investment Services
TX · 4 advisors
ESB W&I LLCType not stated
Investment related firm
OH · 4 advisors
E•• R•••••Real estate
Mortgage/Real Estate Services
CO · 4 advisors · formed 2011
F•••••••• A•••••••• I••••••••• M•••••••••Affiliate of the employer
Independent investment advisor firm, separate from LPL Financial
CA · 4 advisors
H•• B••••Accounting and tax
NJ · 4 advisors
H••••• B•••••Affiliate of the employer
Insurance products sold to clients on commission
IN · 4 advisors
I••••• P••••••• F••••••••• L••Advisory / wealth firm
Non-legal estate planning administrative services
TX · 4 advisors
J••• C•••••• U•••••••••Education
Higher education school
OH · 4 advisors
K••••••• R••••••••• A•••••••Practice brand
DBA name for marketing purposes only
AZ · 4 advisors
K••• B•••••••• O• V••••••• L••Insurance
Brokerage general agency writing alternative products and cases National Life cannot write
VA · 4 advisors
L••••• A••••••••• I•••Insurance
VA · 4 advisors
M••••••• I••••••••Type not stated
Insurance and annuity solutions to retail clients
TX · 4 advisors
M••••••••Practice brand
DBA for LPL business
CA · 4 advisors
M••••••••• C••••••Education
Non Profit
MD · 4 advisors
N••••••• L••• G••••Insurance
Trail commission from non-variable life products
PA · 4 advisors
P••• P•• F••••••••Insurance
Insurance business
CO · 4 advisors
P•••••• F•••••••• G••••Practice brand
Financial advisor dba
FL · 4 advisors
P••••••• F•••••••• G••••Practice brand
Advisory services: asset management, risk management and financial planning
AZ · 4 advisors
P•••••••••Insurance
Proprietary and non-proprietary fixed life insurance
IL · 4 advisors
R••••••••• P••••••• S•••••••• I••Insurance
Insurance sales and service
MD · 4 advisors
R•• E••••• P•••••••Insurance
Insurance and fixed indexed annuity sales
AZ · 4 advisors
R••••• C•••Nonprofit
Non profit dedicated to helping the community
FL · 4 advisors
S••••••••• G••••Insurance
Life and long-term care insurance, fixed and fixed indexed annuities
NY · 4 advisors
S•••• S•••• R••••••••• S•••••••Insurance
Insurance sales and services
MA · 4 advisors
U••••• S••••• T••••• A•••••••••Nonprofit
Non-profit, charitable
NY · 4 advisors
U••••• W•• • S•••••••Nonprofit
Nonprofit improving community outcomes, including financial literacy
FL · 4 advisors
U•• I•••••••• G••••Type not stated
PA · 4 advisors
W••• L•••• W••••• L••Practice brand
TX · 4 advisors
W••• H••••••• C•••••• o• C•••••••Civic or government
Networking with local businesses, promoting economic growth, advocating business interests
CT · 4 advisors
A••• I••••••••• S•••••••Practice brand
DBA name for marketing purposes only
AZ · 3 advisors
A••••Insurance
Supplemental health insurance
FL · 3 advisors
A•••••••• C•••••• I•••••••• A••••• L••Affiliate of the employer
Insurance sales
NJ · 3 advisors
A••• F••••••Advisory / wealth firm
Digital wealth management platform / RIA.
CA · 3 advisors · formed 2022
B••Nonprofit
Referral networking group.
TN · 3 advisors
C•• T•• S••••••• L••Accounting and tax
Tax preparation, bookkeeping
VA · 3 advisors
C•••••••• F•••••••• N••••••Insurance
Insurance
UT · 3 advisors
C•••••• F••••••••Insurance
Insurance business
CA · 3 advisors
C••••• F•••••••• S•••••••Practice brand
DBA for LPL business
IN · 3 advisors
C•• S•••••• O• S••••••Nonprofit
WA · 3 advisors
C••• W••••• M•••••••••Practice brand
DBA for LPL business
VT · 3 advisors
C•••••••• C•••••••• S•••••Nonprofit
K-12 Private S•••••
NC · 3 advisors
C••• F•••••••• R••••••••• C••••••••• L••Consulting
Regulatory consulting providing securities regulation guidance to financial institutions
FL · 3 advisors
C••••••• H•••• W••••• C••• S•••••••Advisory / wealth firm
Retirement planning, estate planning and tax planning services
AR · 3 advisors
C••••••• C•••••• C•••Nonprofit
Private country club operating a golf course and facilities
TX · 3 advisors
C•••••••• L••••••• H••• S•••••Education
H••• school.
IN · 3 advisors
C••••• S•••• W••••• M•••••••••Practice brand
DBA name for marketing purposes only
AZ · 3 advisors
C•••••••• Y•••Type not stated
NC · 3 advisors
C••••••••• W••••• S•••••••••Insurance
Outside insurance sales: life, disability, long-term care
TX · 3 advisors
E••• O••••••••• L••Practice brand
Manages Ameriprise business
CA · 3 advisors

The company names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.

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