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
- Emerson Wealth, LLC's advisors moved to Mariner (Bloomfield Hills, MI): 3 of 3 registered, on the same day
- Allianz Global Investors U.S. LLC's advisors moved to Voya Investment Management CO. LLC (New York, NY): 4 of 5 registered, a day apartAug 10, 2022Firm absorbed (people side)derivedALLIANZ GLOBAL INVESTORS U.S. LLCRAUM $5.0BandVOYA INVESTMENT MANAGEMENT CO. LLC
- Simplyria Advisor Network's advisors moved to Legacy Wealth Management Group, Inc. (Brighton, MI): 4 of 7 registered, within 7 daysAug 9, 2022Firm absorbed (people side)derivedSIMPLYRIA ADVISOR NETWORKRAUM $215MandLEGACY WEALTH MANAGEMENT GROUP, INC.
- HC Financial Advisors Inc's advisors moved to The Mather Group, LLC (Lafayette, CA): 4 of 4 registered, on the same dayAug 9, 2022Firm absorbed (people side)derivedHC FINANCIAL ADVISORS INCRAUM $535MandTHE MATHER GROUP, LLC
- Intersect Capital LLC's advisors moved to Mai Capital Management, LLC (San Ramon, CA): 4 of 7 registered, on the same dayAug 5, 2022Firm absorbed (people side)derivedINTERSECT CAPITAL LLCRAUM $1.3BandMAI CAPITAL MANAGEMENT, LLC
- Icon Wealth Partners, LLC's advisors moved to Icon Wealth Partners (Houston, TX): 13 of 13 registered, on the same dayAug 1, 2022Firm absorbed (people side)derivedICON WEALTH PARTNERS, LLCRAUM $2.0BandICON WEALTH PARTNERS
- BT Wealth Management, LLC's advisors moved to Waverly Advisors, LLC (Atlanta, GA): 6 of 8 registered, on the same dayJul 28, 2022Firm absorbed (people side)derivedBT WEALTH MANAGEMENT, LLCRAUM $1.1BandWAVERLY ADVISORS, LLC
- Loveless Wealth Management, LLC's advisors moved to Dakota Wealth, LLC (Billings, MT): 3 of 3 registered, on the same dayJul 28, 2022Firm absorbed (people side)derivedLOVELESS WEALTH MANAGEMENT, LLCRAUM $265MandDAKOTA WEALTH, LLC
- Hawkins Wealth Management's advisors moved to Wealth Enhancement Advisory Services, LLC (North Liberty, IA): 6 of 7 registered, on the same dayJul 27, 2022Firm absorbed (people side)derivedHAWKINS WEALTH MANAGEMENTRAUM $565MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Burns Estate Planning & Wealth Advisors's advisors moved to Prime Capital Financial (Hammond, LA): 5 of 7 registered, on the same dayJul 26, 2022Firm absorbed (people side)derivedBURNS ESTATE PLANNING & WEALTH ADVISORSRAUM $343MandPRIME CAPITAL FINANCIAL
- Investors Financial Group's advisors moved to Private Advisor Group, LLC (Plymouth, MN): 21 of 23 registered, on the same dayJul 25, 2022Firm absorbed (people side)derivedINVESTORS FINANCIAL GROUPRAUM $1.3BandPRIVATE ADVISOR GROUP, LLC
- Benchmark Private Wealth Management, LLC's advisors moved to Beacon Pointe Advisors, LLC (Dallas, TX): 3 of 4 registered, on the same dayJul 25, 2022Firm absorbed (people side)derivedBENCHMARK PRIVATE WEALTH MANAGEMENT, LLCRAUM $604MandBEACON POINTE ADVISORS, LLC
- Gouldin & Mccarthy, LLC's advisors moved to Onedigital (Basking Ridge, NJ): 6 of 7 registered, on the same day
- Henry + Horne Wealth Management's advisors moved to Baker Tilly Wealth Management, LLC (Scottsdale, AZ): 3 of 4 registered, on the same dayJul 15, 2022Firm absorbed (people side)derivedHENRY + HORNE WEALTH MANAGEMENTRAUM $738MandBAKER TILLY WEALTH MANAGEMENT, LLC
- Npb Financial Group, LLC's advisors moved to Independent Financial Group, LLC (Burbank, CA): 17 of 26 registered, on the same dayJul 15, 2022Firm absorbed (people side)derivedNPB FINANCIAL GROUP, LLCRAUM $249MandINDEPENDENT FINANCIAL GROUP, LLC
- Adams Chetwood Wealth Management LLC's advisors moved to Allworth Financial, L.P. (Durham, NC): 3 of 3 registered, on the same dayJul 7, 2022Firm absorbed (people side)derivedADAMS CHETWOOD WEALTH MANAGEMENT LLCRAUM $294MandALLWORTH FINANCIAL, L.P.
- Premier Financial Partners, LLC's advisors moved to Osaic Wealth, Inc. (ST Louis, MO): 4 of 8 registered, on the same day
- Winfield Associates Inc's advisors moved to Mai Capital Management, LLC (Cleveland, OH): 3 of 4 registered, on the same dayJul 5, 2022Firm absorbed (people side)derivedWINFIELD ASSOCIATES INCRAUM $369MandMAI CAPITAL MANAGEMENT, LLC
- Wealthspire Advisors's advisors moved to Wealthspire Advisors (New York, NY): 9 of 9 registered, on the same day
- Fiduciary Solutions, LLC's advisors moved to Fiduciary Solutions, LLC (Roseville, CA): 3 of 3 registered, on the same day
- Fjy Financial's advisors moved to Cerity Partners LLC (Reston, VA): 6 of 7 registered, on the same day
- Midwest Wealth Management Inc.'s advisors moved to Larson Financial Group, LLC (Indianapolis, IN): 3 of 3 registered, on the same dayJul 1, 2022Firm absorbed (people side)derivedMIDWEST WEALTH MANAGEMENT INC.RAUM $191MandLARSON FINANCIAL GROUP, LLC
- Crossvault Capital Management LLC's advisors moved to Prime Capital Financial (San Antonio, TX): 3 of 3 registered, on the same dayJul 1, 2022Firm absorbed (people side)derivedCROSSVAULT CAPITAL MANAGEMENT LLCRAUM $467MandPRIME CAPITAL FINANCIAL
- Alliant Wealth Advisors's advisors moved to Savant Wealth Management (Manassas, VA): 3 of 4 registered, on the same dayJul 1, 2022Firm absorbed (people side)derivedALLIANT WEALTH ADVISORSRAUM $305MandSAVANT WEALTH MANAGEMENT
- Farr Miller & Washington LLC's advisors moved to Hightower Advisors, LLC (Washington, DC): 9 of 11 registered, within 7 daysJun 30, 2022Firm absorbed (people side)derivedFARR MILLER & WASHINGTON LLCRAUM $1.9BandHIGHTOWER ADVISORS, LLC
- Uas Wealth Advisors's advisors moved to Allworth Financial, L.P. (Albuquerque, NM): 4 of 4 registered, on the same dayJun 30, 2022Firm absorbed (people side)derivedUAS WEALTH ADVISORSRAUM $399MandALLWORTH FINANCIAL, L.P.
- Biltmore Capital Advisors's advisors moved to Stone Creek Capital Management LLC (Boca Raton, FL): 4 of 4 registered, on the same dayJun 29, 2022Firm absorbed (people side)derivedBILTMORE CAPITAL ADVISORSRAUM $645MandSTONE CREEK CAPITAL MANAGEMENT LLC
- Ritter Daniher Financial Advisory LLC's advisors moved to Ritter Daniher Financial Advisory LLC (Cincinnati, OH): 5 of 5 registered, on the same dayJun 29, 2022Firm absorbed (people side)derivedRITTER DANIHER FINANCIAL ADVISORY LLCRAUM $493MandRITTER DANIHER FINANCIAL ADVISORY LLC
- Keystone Wealth Partners LLC's advisors moved to Creative Planning (Chandler, AZ): 11 of 14 registered, on the same dayJun 29, 2022Firm absorbed (people side)derivedKEYSTONE WEALTH PARTNERS LLCRAUM $644MandCREATIVE PLANNING
- Ferris Capital, LLC's advisors moved to Creative Planning (Southborough, MA): 4 of 4 registered, on the same day
- Mgo Investment Advisors Inc.'s advisors moved to Oneseven (Beachwood, OH): 3 of 3 registered, on the same day
- Lake Point Wealth Management, LLC's advisors moved to Mercer Global Advisors Inc. (Heath, TX): 4 of 7 registered, on the same dayJun 9, 2022Firm absorbed (people side)derivedLAKE POINT WEALTH MANAGEMENT, LLCandMERCER GLOBAL ADVISORS INC.
- Oakbridge Partners, LTD.'s advisors moved to Antares Wealth (Atlanta, GA): 4 of 4 registered, on the same day
- Kings Point Capital Management LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Great Neck, NY): 3 of 4 registered, on the same dayJun 3, 2022Firm absorbed (people side)derivedKINGS POINT CAPITAL MANAGEMENT LLCRAUM $1.7BandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Legacy Capital Partners, Inc.'s advisors moved to Dana Investment Advisors Inc (Milwaukee, WI): 4 of 4 registered, within 3 daysJun 3, 2022Firm absorbed (people side)derivedLEGACY CAPITAL PARTNERS, INC.RAUM $494MandDANA INVESTMENT ADVISORS INC
- Meristem Family Wealth's advisors moved to Cresset Asset Management, LLC (Minnetonka, MN): 15 of 17 registered, on the same dayJun 2, 2022Firm absorbed (people side)derivedMERISTEM FAMILY WEALTHRAUM $5.4BandCRESSET ASSET MANAGEMENT, LLC
- Core Capital Wealth Management, LLC's advisors moved to Andina Advisors (Providence, UT): 3 of 3 registered, on the same dayJun 2, 2022Firm absorbed (people side)derivedCORE CAPITAL WEALTH MANAGEMENT, LLCRAUM $9.0MandANDINA ADVISORS
- Altium Wealth Management LLC's advisors moved to Altium Wealth Management (Purchase, NY): 21 of 22 registered, on the same dayJun 1, 2022Firm absorbed (people side)derivedALTIUM WEALTH MANAGEMENT LLCRAUM $2.7BandALTIUM WEALTH MANAGEMENT
- Freedman Financial Associates, Inc.'s advisors moved to LPL Financial LLC (Peabody, MA): 3 of 3 registered, on the same dayMay 27, 2022Firm absorbed (people side)derivedFREEDMAN FINANCIAL ASSOCIATES, INC.RAUM $583MandLPL FINANCIAL LLC
- Karn, Couzens & Associates, Inc.'s advisors moved to Cwm, LLC (Farmington, CT): 3 of 5 registered, on the same day
- Holloway Wealth Management, LLC's advisors moved to Ars Wealth Advisors (Gainesville, FL): 4 of 4 registered, on the same dayMay 11, 2022Firm absorbed (people side)derivedHOLLOWAY WEALTH MANAGEMENT, LLCRAUM $375MandARS WEALTH ADVISORS
- Hickok & Boardman Capital Management's advisors moved to Raymond James Financial Services Advisors, Inc (Burlington, VT): 3 of 5 registered, on the same dayMay 11, 2022Firm absorbed (people side)derivedCRD 104813andRAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
- Permit Capital Advisors, LLC's advisors moved to Cerity Partners LLC (West Conshohocken, PA): 5 of 4 registered, within 12 daysMay 11, 2022Firm absorbed (people side)derivedPERMIT CAPITAL ADVISORS, LLCRAUM $1.6BandCERITY PARTNERS LLC
- Viridian RIA, LLC's advisors moved to Edelman Financial Engines (Bothell, WA): 5 of 5 registered, on the same dayMay 6, 2022Firm absorbed (people side)derivedVIRIDIAN RIA, LLCRAUM $809MandEDELMAN FINANCIAL ENGINES
- Hawsgoodwin Wealth's advisors moved to Mercer Global Advisors Inc. (Franklin, TN): 5 of 5 registered, on the same day
- First Financial Equity Corporation's advisors moved to Osaic Wealth, Inc. (Scottsdale, AZ): 6 of 10 registered, a day apartMay 3, 2022Firm absorbed (people side)derivedFIRST FINANCIAL EQUITY CORPORATIONRAUM $2.4BandOSAIC WEALTH, INC.
- Fundx Investment Group, LLC's advisors moved to One Capital Management, LLC (San Francisco, CA): 5 of 5 registered, a day apartMay 3, 2022Firm absorbed (people side)derivedFUNDX INVESTMENT GROUP, LLCRAUM $893MandONE CAPITAL MANAGEMENT, LLC
- Gurtin Municipal Bond Management's advisors moved to Pacific Investment Management Company LLC (Solana Beach, CA): 3 of 4 registered, on the same dayApr 29, 2022Firm absorbed (people side)derivedGURTIN MUNICIPAL BOND MANAGEMENTRAUM $21BandPACIFIC INVESTMENT MANAGEMENT COMPANY LLC
- Gaines Financial Group's advisors moved to Great Valley Advisor Group, LLC (Boca Raton, FL): 14 of 14 registered, within 18 daysApr 22, 2022Firm absorbed (people side)derivedGAINES FINANCIAL GROUPRAUM $523MandGREAT VALLEY ADVISOR GROUP, LLC
- Azimuth Capital Management LLC's advisors moved to Azimuth Capital Management (Bloomfield Hills, MI): 6 of 6 registered, on the same dayApr 7, 2022Firm absorbed (people side)derivedAZIMUTH CAPITAL MANAGEMENT LLCRAUM $3.5BandAZIMUTH CAPITAL MANAGEMENT
- Integra Capital Advisors's advisors moved to Wealth Enhancement Advisory Services, LLC (Bradenton, FL): 5 of 6 registered, on the same dayApr 5, 2022Firm absorbed (people side)derivedINTEGRA CAPITAL ADVISORSRAUM $419MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Rosenbaum Financial's advisors moved to Coldstream Wealth Management (Portland, OR): 5 of 5 registered, on the same dayMar 31, 2022Firm absorbed (people side)derivedROSENBAUM FINANCIALRAUM $419MandCOLDSTREAM WEALTH MANAGEMENT
- Afs Advisors, LLC's advisors moved to Wealthspire Retirement Advisory (Suwanee, GA): 3 of 3 registered, on the same dayMar 31, 2022Firm absorbed (people side)derivedAFS ADVISORS, LLCRAUM $4.6BandWEALTHSPIRE RETIREMENT ADVISORY
- Silverleaf Advisor Group, LLC's advisors moved to Gladstone Wealth Partners (Omaha, NE): 12 of 12 registered, on the same dayMar 31, 2022Firm absorbed (people side)derivedSILVERLEAF ADVISOR GROUP, LLCRAUM $700MandGLADSTONE WEALTH PARTNERS
- Rinet Company, LLC's advisors moved to Captrust (Boston, MA): 8 of 8 registered, on the same day
- Larson Wealth Partners's advisors moved to Larson Financial Group, LLC (Minneapolis, MN): 4 of 6 registered, on the same dayMar 28, 2022Firm absorbed (people side)derivedLARSON WEALTH PARTNERSRAUM $152MandLARSON FINANCIAL GROUP, LLC
- Mirsky Financial Management Corp.'s advisors moved to Mercer Global Advisors Inc. (Rochester, NY): 3 of 3 registered, on the same dayMar 25, 2022Firm absorbed (people side)derivedMIRSKY FINANCIAL MANAGEMENT CORP.RAUM $278MandMERCER GLOBAL ADVISORS INC.
- Arbor Wealth's advisors moved to Mariner (Miramar Beach, FL): 3 of 4 registered, on the same day
- Quest Capital Management, Inc.'s advisors moved to Mercer Global Advisors Inc. (Dallas, TX): 8 of 8 registered, on the same dayMar 22, 2022Firm absorbed (people side)derivedQUEST CAPITAL MANAGEMENT, INC.RAUM $1.2BandMERCER GLOBAL ADVISORS INC.
- Golden State Asset Management's advisors moved to Ascentis Asset Management, LLC (Santa Ana, CA): 3 of 4 registered, on the same dayMar 14, 2022Firm absorbed (people side)derivedGOLDEN STATE ASSET MANAGEMENTRAUM $218MandASCENTIS ASSET MANAGEMENT, LLC