DFX Intelligence
Consolidation
What the advisers themselves reported about M&AWhere this comes fromItem 4 of Form ADV asks whether the adviser is succeeding to the business of another registered adviser and names the firm acquired. It catches asset purchases and mergers where the target’s registration folds into the buyer’s; a stock purchase that keeps the target registered shows instead as a new owner on Schedule A and, later, as a roster exit.Firms absorbed reads the same events from the people side: half or more of a firm’s registered advisors moving to one other firm within fourteen days, which catches acquisitions before, or without, a succession filing.Press-sourced deals, PE sponsors and consolidator platforms are the next cycle.
865 events match
- Silverhawk Asset Management, LLC's advisors moved to Cwm, LLC (Scottsdale, AZ): 5 of 7 registered, on the same day
- Ledge Wealth's advisors moved to Dakota Wealth, LLC (Sartell, MN): 3 of 3 registered, on the same day
- Lws Wealth Advisors, Inc.'s advisors moved to Mai Capital Management, LLC (Basking Ridge, NJ): 3 of 3 registered, on the same dayMar 12, 2024Firm absorbed (people side)derivedLWS WEALTH ADVISORS, INC.RAUM $549MandMAI CAPITAL MANAGEMENT, LLC
- Keeney Financial Group Inc.'s advisors moved to Beacon Pointe Advisors, LLC (Columbia, MD): 5 of 5 registered, within 4 daysMar 8, 2024Firm absorbed (people side)derivedKEENEY FINANCIAL GROUP INC.RAUM $386MandBEACON POINTE ADVISORS, LLC
- Heritage Wealth Management, LLC's advisors moved to Heritage Family Offices, LLP (Phoenix, AZ): 4 of 6 registered, on the same dayMar 5, 2024Firm absorbed (people side)derivedHERITAGE WEALTH MANAGEMENT, LLCRAUM $545MandHERITAGE FAMILY OFFICES, LLP
- Paragon Wealth Strategies, LLC.'s advisors moved to Mercer Global Advisors Inc. (Jacksonville, FL): 4 of 4 registered, within 25 daysFeb 23, 2024Firm absorbed (people side)derivedPARAGON WEALTH STRATEGIES, LLC.RAUM $456MandMERCER GLOBAL ADVISORS INC.
- Eisneramper Wealth Management & Corporate Benefits, LLC's advisors moved to Prosperity - AN Eisneramper Company (Iselin, NJ): 4 of 7 registered, on the same dayFeb 22, 2024Firm absorbed (people side)derivedEISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLCRAUM $1.3BandPROSPERITY - AN EISNERAMPER COMPANY
- Cannell & CO.'s advisors moved to Cannell & Spears LLC (New York, NY): 7 of 7 registered, on the same day
- Dfpg Investments, LLC's advisors moved to Diversify Advisory Services, LLC (Sandy, UT): 5 of 8 registered, a day apartFeb 8, 2024Firm absorbed (people side)derivedDFPG INVESTMENTS, LLCandDIVERSIFY ADVISORY SERVICES, LLC
- Traverso Chambers Private Wealth Management, LLC's advisors moved to Mai Capital Management, LLC (Santa Rosa, CA): 3 of 4 registered, on the same dayJan 30, 2024Firm absorbed (people side)derivedTRAVERSO CHAMBERS PRIVATE WEALTH MANAGEMENT, LLCRAUM $553MandMAI CAPITAL MANAGEMENT, LLC
- Madison Wealth Management's advisors moved to Mai Capital Management, LLC (Cincinnati, OH): 9 of 12 registered, on the same dayJan 29, 2024Firm absorbed (people side)derivedMADISON WEALTH MANAGEMENTRAUM $1.1BandMAI CAPITAL MANAGEMENT, LLC
- Curi Capital's advisors moved to Curi Capital, LLC (Raleigh, NC): 12 of 13 registered, within 11 days
- Resource Consulting Group's advisors moved to Hightower Advisors, LLC (Orlando, FL): 16 of 16 registered, on the same dayJan 26, 2024Firm absorbed (people side)derivedRESOURCE CONSULTING GROUPRAUM $2.3BandHIGHTOWER ADVISORS, LLC
- Painter, Smith And Amberg Inc.'s advisors moved to Prospera Financial Services, Inc. (Redlands, CA): 4 of 4 registered, within 2 daysJan 17, 2024Firm absorbed (people side)derivedPAINTER, SMITH AND AMBERG INC.RAUM $116MandPROSPERA FINANCIAL SERVICES, INC.
- Landmark Financial Advisors, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Bowling Green, KY): 6 of 6 registered, on the same dayJan 10, 2024Firm absorbed (people side)derivedLANDMARK FINANCIAL ADVISORS, LLCRAUM $504MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Wealthone, LLC's advisors moved to LPL Financial LLC (Albany, NY): 6 of 6 registered, on the same day
- Asset Management Resources, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Hyannis, MA): 3 of 4 registered, on the same dayJan 9, 2024Firm absorbed (people side)derivedASSET MANAGEMENT RESOURCES, LLCRAUM $221MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Capital Point Financial Group, LTD.'s advisors moved to Total Clarity Wealth Management, Inc (Glenview, IL): 5 of 10 registered, on the same dayJan 8, 2024Firm absorbed (people side)derivedCAPITAL POINT FINANCIAL GROUP, LTD.RAUM $313MandTOTAL CLARITY WEALTH MANAGEMENT, INC
- Accelerated Wealth Advisors LLC's advisors moved to Rfg Advisory, LLC (Colorado Springs, CO): 5 of 6 registered, on the same dayJan 8, 2024Firm absorbed (people side)derivedACCELERATED WEALTH ADVISORS LLCRAUM $180MandRFG ADVISORY, LLC
- Day & Ennis, LLC's advisors moved to Mercer Global Advisors Inc. (Macon, GA): 4 of 5 registered, on the same dayJan 5, 2024Firm absorbed (people side)derivedDAY & ENNIS, LLCRAUM $384MandMERCER GLOBAL ADVISORS INC.
- Silicon Valley Wealth Advisors, LLC's advisors moved to Allworth Financial, L.P. (San Jose, CA): 4 of 4 registered, on the same dayJan 2, 2024Firm absorbed (people side)derivedSILICON VALLEY WEALTH ADVISORS, LLCRAUM $329MandALLWORTH FINANCIAL, L.P.
- Mollot & Hardy, Inc.'s advisors moved to Osaic Wealth, Inc. (Amherst, NY): 3 of 3 registered, on the same day
- Timescale Financial, Inc.'s advisors moved to Onedigital (Danvers, MA): 5 of 5 registered, on the same day
- Jhh Wealth, LLC's advisors moved to Colarion (Greenville, SC): 3 of 4 registered, on the same day
- Gkfo, LLC's advisors moved to Forefront Analytics, LLC (W Conshohocken, PA): 3 of 4 registered, on the same day
- Cornerstone Financial Services, Inc.'s advisors moved to Independent Financial Group, LLC (Dallas, TX): 3 of 3 registered, on the same dayDec 31, 2023Firm absorbed (people side)derivedCORNERSTONE FINANCIAL SERVICES, INC.RAUM $50.1MandINDEPENDENT FINANCIAL GROUP, LLC
- Beacon Wealth Advisors, LLC's advisors moved to Harbour Investments, Inc. (Mchenry, IL): 4 of 4 registered, on the same dayDec 31, 2023Firm absorbed (people side)derivedBEACON WEALTH ADVISORS, LLCRAUM $144MandHARBOUR INVESTMENTS, INC.
- Water Street Financial LLC's advisors moved to Wealthcare Advisory Partners LLC (Winchester, VA): 3 of 3 registered, on the same dayDec 31, 2023Firm absorbed (people side)derivedWATER STREET FINANCIAL LLCRAUM $147MandWEALTHCARE ADVISORY PARTNERS LLC
- KB Financial Partners, LLC's advisors moved to Onedigital (Princeton, NJ): 6 of 8 registered, on the same day
- Antares Wealth's advisors moved to HB Wealth (Atlanta, GA): 4 of 4 registered, on the same day
- Syntrinsic Investment Counsel, LLC.'s advisors moved to Syntrinsic LLC (Denver, CO): 8 of 8 registered, on the same dayDec 31, 2023Firm absorbed (people side)derivedSYNTRINSIC INVESTMENT COUNSEL, LLC.RAUM $1.6BandSYNTRINSIC LLC
- Fhn Financial Main Street Advisors, LLC's advisors moved to Meeder Public Funds, Inc. (Las Vegas, NV): 4 of 4 registered, within 7 daysDec 15, 2023Firm absorbed (people side)derivedFHN FINANCIAL MAIN STREET ADVISORS, LLCRAUM $21BandMEEDER PUBLIC FUNDS, INC.
- Prism Financial Strategies, LLC's advisors moved to Integrated Wealth Concepts LLC (Englewood, CO): 5 of 6 registered, on the same dayDec 14, 2023Firm absorbed (people side)derivedPRISM FINANCIAL STRATEGIES, LLCRAUM $196MandINTEGRATED WEALTH CONCEPTS LLC
- Cmg Financial Planning, LTD.'s advisors moved to Hightower Advisors, LLC (Pearl River, NY): 6 of 7 registered, on the same day
- Tortoiseecofin Investments Partners, LLC's advisors moved to Tortoise Capital Advisors, L.L.C. (Overland Park, KS): 3 of 4 registered, on the same dayDec 13, 2023Firm absorbed (people side)derivedTORTOISEECOFIN INVESTMENTS PARTNERS, LLCandTORTOISE CAPITAL ADVISORS, L.L.C.
- Catalyst Wealth Management's advisors moved to Apollon Wealth Management, LLC (Atlanta, GA): 5 of 5 registered, on the same dayDec 13, 2023Firm absorbed (people side)derivedCATALYST WEALTH MANAGEMENTRAUM $193MandAPOLLON WEALTH MANAGEMENT, LLC
- Truadvice LLC's advisors moved to Foguth Wealth Management, LLC. (Brighton, MI): 7 of 11 registered, on the same day
- Life Plan Financial Advisory Group, LLC's advisors moved to Buckingham Strategic Wealth, LLC (Rochester Hills, MI): 3 of 3 registered, on the same dayDec 13, 2023Firm absorbed (people side)derivedLIFE PLAN FINANCIAL ADVISORY GROUP, LLCRAUM $157MandBUCKINGHAM STRATEGIC WEALTH, LLC
- Freedom Wealth Alliance's advisors moved to Intrua Financial (Brookfield, WI): 6 of 7 registered, on the same day
- Globalt Investments's advisors moved to Globalt Investments (Atlanta, GA): 11 of 11 registered, on the same day
- Prw Wealth Management LLC's advisors moved to Edelman Financial Engines (Quincy, MA): 4 of 4 registered, on the same dayDec 11, 2023Firm absorbed (people side)derivedPRW WEALTH MANAGEMENT LLCRAUM $512MandEDELMAN FINANCIAL ENGINES
- Triad Financial Advisors, Inc.'s advisors moved to Onedigital (Greensboro, NC): 6 of 6 registered, within 2 days
- Investment Management OF Virginia, LLC's advisors moved to Pinnacle Associates, LTD. (Richmond, VA): 4 of 6 registered, on the same dayDec 11, 2023Firm absorbed (people side)derivedINVESTMENT MANAGEMENT OF VIRGINIA, LLCRAUM $571MandPINNACLE ASSOCIATES, LTD.
- Wealth Management Group's advisors moved to Wealth Enhancement Advisory Services, LLC (Rochester, NY): 3 of 3 registered, on the same dayDec 11, 2023Firm absorbed (people side)derivedWEALTH MANAGEMENT GROUPRAUM $103MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Slr Financial's advisors moved to Allpoint Financial Group (Santa Rosa, CA): 3 of 4 registered, on the same day
- Barber Financial Group's advisors moved to Modern Wealth Management, LLC (Lenexa, KS): 17 of 18 registered, within 12 daysDec 7, 2023Firm absorbed (people side)derivedBARBER FINANCIAL GROUPRAUM $1.5BandMODERN WEALTH MANAGEMENT, LLC
- The David J. Yvars Group, Inc.'s advisors moved to The David J. Yvars Group Inc. (University Park, FL): 4 of 4 registered, on the same dayDec 7, 2023Firm absorbed (people side)derivedTHE DAVID J. YVARS GROUP, INC.RAUM $260MandTHE DAVID J. YVARS GROUP INC.
- Gyroscope Capital Management Group LLC's advisors moved to First Trust Investment Solutions L.P. (Naples, FL): 5 of 6 registered, on the same dayDec 7, 2023Firm absorbed (people side)derivedGYROSCOPE CAPITAL MANAGEMENT GROUP LLCRAUM $351MandFIRST TRUST INVESTMENT SOLUTIONS L.P.
- Briggs Advisory Group, Inc.'s advisors moved to Buckingham Strategic Wealth, LLC (Lincoln, RI): 4 of 5 registered, on the same dayDec 6, 2023Firm absorbed (people side)derivedBRIGGS ADVISORY GROUP, INC.RAUM $421MandBUCKINGHAM STRATEGIC WEALTH, LLC
- Barrett Asset Management, LLC's advisors moved to Corient (New York, NY): 5 of 5 registered, on the same day
- Legacy Wealth Planning, LLC's advisors moved to Mariner Advisor Network (Reno, NV): 7 of 8 registered, on the same dayDec 4, 2023Firm absorbed (people side)derivedLEGACY WEALTH PLANNING, LLCRAUM $343MandMARINER ADVISOR NETWORK
- PNC Managed Account Solutions, Inc.'s advisors moved to Insigneo Advisory Services, LLC (Houston, TX): 10 of 17 registered, a day apartNov 30, 2023Firm absorbed (people side)derivedPNC MANAGED ACCOUNT SOLUTIONS, INC.RAUM $588MandINSIGNEO ADVISORY SERVICES, LLC
- Ten Capital Wealth Advisors, LLC's advisors moved to Hightower Advisors, LLC (Spokane, WA): 8 of 8 registered, on the same dayNov 29, 2023Firm absorbed (people side)derivedTEN CAPITAL WEALTH ADVISORS, LLCRAUM $913MandHIGHTOWER ADVISORS, LLC
- Ropes Wealth Advisors's advisors moved to Rwa Wealth Partners (Boston, MA): 11 of 11 registered, on the same day
- Compound Advisers, Inc.'s advisors moved to Compound Planning, Inc. (San Francisco, CA): 5 of 7 registered, on the same dayNov 27, 2023Firm absorbed (people side)derivedCOMPOUND ADVISERS, INC.RAUM $317MandCOMPOUND PLANNING, INC.
- Quantum Econometrics, LLC's advisors moved to Cetera Investment Advisers LLC (Whittier, CA): 5 of 5 registered, on the same dayNov 22, 2023Firm absorbed (people side)derivedQUANTUM ECONOMETRICS, LLCRAUM $147MandCETERA INVESTMENT ADVISERS LLC
- Northwest Investment Counselors's advisors moved to Northwest Investment Counselors (Lake Oswego, OR): 4 of 5 registered, on the same dayNov 20, 2023Firm absorbed (people side)derivedNORTHWEST INVESTMENT COUNSELORSRAUM $534MandNORTHWEST INVESTMENT COUNSELORS
- Lumature Wealth Partners, LLC's advisors moved to Concurrent Investment Advisors, LLC (Alpharetta, GA): 6 of 6 registered, on the same dayNov 16, 2023Firm absorbed (people side)derivedLUMATURE WEALTH PARTNERS, LLCRAUM $561MandCONCURRENT INVESTMENT ADVISORS, LLC
- Soundpath Investment Advisors, LLC's advisors moved to Waverly Advisors, LLC (Ridgeland, MS): 3 of 3 registered, on the same dayNov 16, 2023Firm absorbed (people side)derivedSOUNDPATH INVESTMENT ADVISORS, LLCRAUM $747MandWAVERLY ADVISORS, LLC
- Lowell Blake & Associates Inc.'s advisors moved to Choate Investment Advisors (Boston, MA): 4 of 4 registered, on the same dayNov 15, 2023Firm absorbed (people side)derivedLOWELL BLAKE & ASSOCIATES INC.RAUM $597MandCHOATE INVESTMENT ADVISORS