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
- Edmonds Duncan Registered Investment Advisors, LLC's advisors moved to Creative Planning (Lawrence, KS): 4 of 4 registered, within 5 daysDec 5, 2024Firm absorbed (people side)derivedEDMONDS DUNCAN REGISTERED INVESTMENT ADVISORS, LLCRAUM $441MandCREATIVE PLANNING
- 9258 Wealth Management, LLC's advisors moved to Waverly Advisors, LLC (Blue Ash, OH): 10 of 11 registered, on the same dayDec 2, 2024Firm absorbed (people side)derived9258 WEALTH MANAGEMENT, LLCRAUM $1.0BandWAVERLY ADVISORS, LLC
- Gratus Capital, LLC's advisors moved to Focus Partners Wealth, LLC (Atlanta, GA): 21 of 23 registered, on the same dayDec 2, 2024Firm absorbed (people side)derivedGRATUS CAPITAL, LLCRAUM $2.7BandFOCUS PARTNERS WEALTH, LLC
- Chesme Capital Management's advisors moved to Assuredpartners Investment Advisors (Dewitt, MI): 3 of 3 registered, on the same dayNov 26, 2024Firm absorbed (people side)derivedCHESME CAPITAL MANAGEMENTRAUM $649MandASSUREDPARTNERS INVESTMENT ADVISORS
- Sbc Wealth Management's advisors moved to Cerity Partners LLC (Indianapolis, IN): 5 of 8 registered, on the same day
- Vitalstone Financial, LLC's advisors moved to Maridea Wealth Management (Shavano Park, TX): 4 of 4 registered, on the same dayNov 22, 2024Firm absorbed (people side)derivedVITALSTONE FINANCIAL, LLCRAUM $200MandMARIDEA WEALTH MANAGEMENT
- Spotlight Asset Group's advisors moved to Pandora Wealth, Inc. (Oakbrook Terrace, IL): 3 of 3 registered, on the same dayNov 22, 2024Firm absorbed (people side)derivedSPOTLIGHT ASSET GROUPRAUM $205MandPANDORA WEALTH, INC.
- M&R Capital Management Inc's advisors moved to Wealth Enhancement Advisory Services, LLC (Summit, NJ): 4 of 4 registered, on the same dayNov 21, 2024Firm absorbed (people side)derivedM&R CAPITAL MANAGEMENT INCRAUM $522MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Hoylecohen, LLC's advisors moved to Focus Partners Wealth, LLC (San Diego, CA): 20 of 25 registered, on the same dayNov 21, 2024Firm absorbed (people side)derivedHOYLECOHEN, LLCRAUM $3.4BandFOCUS PARTNERS WEALTH, LLC
- Bay Point Wealth's advisors moved to Modera Wealth Management, LLC (Stevensville, MD): 4 of 4 registered, on the same dayNov 21, 2024Firm absorbed (people side)derivedBAY POINT WEALTHRAUM $399MandMODERA WEALTH MANAGEMENT, LLC
- Intervest International, Inc.'s advisors moved to Ausdal Financial Partners, Inc. (Colorado Springs, CO): 8 of 15 registered, a day apartNov 14, 2024Firm absorbed (people side)derivedINTERVEST INTERNATIONAL, INC.RAUM $39.9MandAUSDAL FINANCIAL PARTNERS, INC.
- Landmark Wealth Management Group's advisors moved to Beacon Pointe Advisors, LLC (Lake Elmo, MN): 10 of 13 registered, on the same dayNov 14, 2024Firm absorbed (people side)derivedLANDMARK WEALTH MANAGEMENT GROUPRAUM $824MandBEACON POINTE ADVISORS, LLC
- Shore Morgan Young Wealth Strategies's advisors moved to Lido (New Albany, OH): 3 of 3 registered, on the same day
- Ensemble Capital Management, LLC's advisors moved to Corient (San Francisco, CA): 8 of 8 registered, on the same day
- Brownlie & Braden Advisors, LLC's advisors moved to Prairie Capital Management Group, LLC (Dallas, TX): 3 of 3 registered, within 2 daysNov 12, 2024Firm absorbed (people side)derivedBROWNLIE & BRADEN ADVISORS, LLCRAUM $329MandPRAIRIE CAPITAL MANAGEMENT GROUP, LLC
- Petso Financial Consultants LLC's advisors moved to Modern Wealth Management, LLC (Boise, ID): 5 of 7 registered, on the same dayNov 12, 2024Firm absorbed (people side)derivedPETSO FINANCIAL CONSULTANTS LLCRAUM $1.2BandMODERN WEALTH MANAGEMENT, LLC
- Kingfisher Capital, LLC's advisors moved to Mercer Global Advisors Inc. (Charlotte, NC): 5 of 5 registered, on the same dayNov 7, 2024Firm absorbed (people side)derivedKINGFISHER CAPITAL, LLCRAUM $607MandMERCER GLOBAL ADVISORS INC.
- Greenwich Investment Management, Inc.'s advisors moved to Round Rock Advisors LLC (Norwalk, CT): 3 of 3 registered, on the same dayNov 5, 2024Firm absorbed (people side)derivedGREENWICH INVESTMENT MANAGEMENT, INC.RAUM $593MandROUND ROCK ADVISORS LLC
- Etfidea, LLC's advisors moved to Commonwealth Financial Network (Syracuse, NY): 6 of 6 registered, on the same dayNov 5, 2024Firm absorbed (people side)derivedETFIDEA, LLCRAUM $393MandCOMMONWEALTH FINANCIAL NETWORK
- Clarify Wealth Management's advisors moved to CX Institutional, LLC (Cincinnati, OH): 6 of 6 registered, on the same dayNov 4, 2024Firm absorbed (people side)derivedCLARIFY WEALTH MANAGEMENTRAUM $410MandCX INSTITUTIONAL, LLC
- Diversified, LLC's advisors moved to Diversified, LLC (Wilmington, DE): 12 of 15 registered, on the same day
- Birch Cove Group, LTD.'s advisors moved to Navista Wealth Management, Inc. (Minneapolis, MN): 3 of 4 registered, on the same day
- Bridge Advisory LLC's advisors moved to Beacon Pointe Advisors, LLC (Pasadena, CA): 6 of 10 registered, on the same dayOct 31, 2024Firm absorbed (people side)derivedBRIDGE ADVISORY LLCRAUM $453MandBEACON POINTE ADVISORS, LLC
- Taylor Hoffman Wealth Management, LLC's advisors moved to Taylor Hoffman Capital Management (Richmond, VA): 3 of 3 registered, on the same dayOct 29, 2024Firm absorbed (people side)derivedTAYLOR HOFFMAN WEALTH MANAGEMENT, LLCRAUM $304MandTAYLOR HOFFMAN CAPITAL MANAGEMENT
- Hyperion Partners, LLC's advisors moved to Mai Capital Management, LLC (Berwyn, PA): 3 of 3 registered, on the same dayOct 28, 2024Firm absorbed (people side)derivedHYPERION PARTNERS, LLCRAUM $354MandMAI CAPITAL MANAGEMENT, LLC
- Cafg Wealth Management, Inc.'s advisors moved to Robertson Stephens (Hawthorn Woods, IL): 3 of 3 registered, on the same dayOct 25, 2024Firm absorbed (people side)derivedCAFG WEALTH MANAGEMENT, INC.RAUM $225MandROBERTSON STEPHENS
- Greytown Advisors's advisors moved to Btg Pactual Asset Management US , LLC (Miami, FL): 5 of 6 registered, on the same dayOct 24, 2024Firm absorbed (people side)derivedGREYTOWN ADVISORSRAUM $847MandBTG PACTUAL ASSET MANAGEMENT US , LLC
- George Mckelvey CO., LLC's advisors moved to Allworth Financial, L.P. (Manasquan, NJ): 10 of 10 registered, on the same dayOct 22, 2024Firm absorbed (people side)derivedGEORGE MCKELVEY CO., LLCRAUM $1.0BandALLWORTH FINANCIAL, L.P.
- Janiczek Wealth Management's advisors moved to Cerity Partners LLC (Denver, CO): 6 of 6 registered, on the same dayOct 22, 2024Firm absorbed (people side)derivedJANICZEK WEALTH MANAGEMENTRAUM $1.1BandCERITY PARTNERS LLC
- Financial Navigators Inc.'s advisors moved to Montis Financial, LLC (Littleton, MA): 3 of 3 registered, on the same dayOct 8, 2024Firm absorbed (people side)derivedFINANCIAL NAVIGATORS INC.RAUM $182MandMONTIS FINANCIAL, LLC
- Halpern Financial, Inc.'s advisors moved to Mai Capital Management, LLC (Rockville, MD): 5 of 6 registered, on the same dayOct 8, 2024Firm absorbed (people side)derivedHALPERN FINANCIAL, INC.RAUM $1.1BandMAI CAPITAL MANAGEMENT, LLC
- The Capital Group Investment Advisory Services, LLC's advisors moved to The Baldwin Group Wealth Advisors, LLC (Bethesda, MD): 9 of 11 registered, a day apartOct 4, 2024Firm absorbed (people side)derivedTHE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLCRAUM $1.2BandTHE BALDWIN GROUP WEALTH ADVISORS, LLC
- Kemp Financial Management, LLC's advisors moved to Savant Wealth Management (Fullerton, CA): 3 of 4 registered, on the same dayOct 4, 2024Firm absorbed (people side)derivedKEMP FINANCIAL MANAGEMENT, LLCRAUM $230MandSAVANT WEALTH MANAGEMENT
- Fintrust Capital Advisors, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Greenville, SC): 17 of 23 registered, within 12 daysOct 3, 2024Firm absorbed (people side)derivedFINTRUST CAPITAL ADVISORS, LLCRAUM $1.7BandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Imprint Wealth LLC's advisors moved to Naples Wealth Planning (Mount Pleasant, SC): 7 of 11 registered, on the same day
- Divergent Wealth Advisors, LLC's advisors moved to Wealthspire Retirement Advisory (South Jordan, UT): 10 of 11 registered, on the same daySep 30, 2024Firm absorbed (people side)derivedDIVERGENT WEALTH ADVISORS, LLCRAUM $617MandWEALTHSPIRE RETIREMENT ADVISORY
- Fmf&E Wealth Management, LLC's advisors moved to Parkwoods Wealth Partners, LLC (Syracuse, NY): 3 of 3 registered, on the same daySep 27, 2024Firm absorbed (people side)derivedFMF&E WEALTH MANAGEMENT, LLCRAUM $358MandPARKWOODS WEALTH PARTNERS, LLC
- Clear Rock Advisors, LLC's advisors moved to True North Advisors, LLC (Kerrville, TX): 6 of 6 registered, on the same daySep 17, 2024Firm absorbed (people side)derivedCLEAR ROCK ADVISORS, LLCRAUM $430MandTRUE NORTH ADVISORS, LLC
- Wealthspire Advisors's advisors moved to Wealthspire Advisors (San Rafael, CA): 18 of 21 registered, on the same day
- People'S United Advisors, Inc.'s advisors moved to Wilmington Trust Investment Advisors, Inc. (Wilmington, DE): 4 of 4 registered, on the same daySep 10, 2024Firm absorbed (people side)derivedPEOPLE'S UNITED ADVISORS, INC.RAUM $845MandWILMINGTON TRUST INVESTMENT ADVISORS, INC.
- Abbrea Capital, LLC's advisors moved to Cerity Partners LLC (Greenbrae, CA): 5 of 5 registered, on the same day
- Xpyria Investment Advisors, Inc.'s advisors moved to Cerity Partners LLC (Pittsburgh, PA): 7 of 7 registered, on the same daySep 4, 2024Firm absorbed (people side)derivedXPYRIA INVESTMENT ADVISORS, INC.RAUM $823MandCERITY PARTNERS LLC
- Emfo, LLC's advisors moved to Corient (Weston, FL): 5 of 5 registered, on the same day
- Arnerich Massena, Inc.'s advisors moved to Coldstream Wealth Management (Portland, OR): 7 of 7 registered, on the same dayAug 29, 2024Firm absorbed (people side)derivedARNERICH MASSENA, INC.RAUM $1.7BandCOLDSTREAM WEALTH MANAGEMENT
- Cornerstone Wealth Strategies, Inc.'s advisors moved to LPL Financial LLC (Kennewick, WA): 3 of 3 registered, on the same dayAug 29, 2024Firm absorbed (people side)derivedCORNERSTONE WEALTH STRATEGIES, INC.RAUM $1.0BandLPL FINANCIAL LLC
- Agili, P.C.'s advisors moved to CW Advisors, LLC (Richmond, VA): 4 of 5 registered, on the same day
- Legacy Asset Management, Inc.'s advisors moved to Onedigital (Houston, TX): 3 of 3 registered, on the same day
- Ratio Wealth Group LLC's advisors moved to Robertson Stephens (Denver, CO): 4 of 5 registered, on the same day
- MY Investment Advisor, Inc.'s advisors moved to Summit Global Investments, LLC (ST George, UT): 3 of 3 registered, within 7 days
- Rain Capital Management's advisors moved to Robertson Stephens (Lake Oswego, OR): 3 of 3 registered, on the same dayAug 26, 2024Firm absorbed (people side)derivedRAIN CAPITAL MANAGEMENTRAUM $379MandROBERTSON STEPHENS
- Derbend Asset Management's advisors moved to Waverly Advisors, LLC (Peachtree City, GA): 4 of 4 registered, on the same dayAug 23, 2024Firm absorbed (people side)derivedDERBEND ASSET MANAGEMENTRAUM $290MandWAVERLY ADVISORS, LLC
- Solano Wealth Management, Inc.'s advisors moved to Solano Wealth Advisors (Fairfield, CA): 3 of 3 registered, on the same dayAug 20, 2024Firm absorbed (people side)derivedSOLANO WEALTH MANAGEMENT, INC.RAUM $322MandSOLANO WEALTH ADVISORS
- Boulevard Family Wealth Services, LLC's advisors moved to Americana Partners, LLC (Beverly Hills, CA): 3 of 3 registered, on the same dayAug 14, 2024Firm absorbed (people side)derivedBOULEVARD FAMILY WEALTH SERVICES, LLCRAUM $2.5MandAMERICANA PARTNERS, LLC
- Relative Value Partners, LLC's advisors moved to Northcoast Asset Management LLC (Northbrook, IL): 12 of 15 registered, on the same dayAug 14, 2024Firm absorbed (people side)derivedRELATIVE VALUE PARTNERS, LLCRAUM $2.6BandNORTHCOAST ASSET MANAGEMENT LLC
- Transitions Wealth Management, LLC's advisors moved to Mercer Global Advisors Inc. (Denver, CO): 5 of 5 registered, on the same dayAug 9, 2024Firm absorbed (people side)derivedTRANSITIONS WEALTH MANAGEMENT, LLCRAUM $478MandMERCER GLOBAL ADVISORS INC.
- Column Capital Advisors, LLC's advisors moved to Captrust (Indianapolis, IN): 13 of 14 registered, on the same day
- Socius Family Office, LLC's advisors moved to Corient (Fort Lauderdale, FL): 4 of 7 registered, on the same day
- Canon Capital Investment Advisory's advisors moved to Summit Financial, LLC (Harleysville, PA): 6 of 6 registered, on the same dayAug 6, 2024Firm absorbed (people side)derivedCANON CAPITAL INVESTMENT ADVISORYRAUM $210MandSUMMIT FINANCIAL, LLC
- Regis Management, A Mercer Advisors Company's advisors moved to Mercer Global Advisors Inc. (Denver, CO): 3 of 4 registered, on the same dayJul 31, 2024Firm absorbed (people side)derivedREGIS MANAGEMENT, A MERCER ADVISORS COMPANYRAUM $2.9BandMERCER GLOBAL ADVISORS INC.
- Vantage Financial Partners Limited's advisors moved to Highpoint Planning Partners (Arlington Heights, IL): 8 of 9 registered, on the same dayJul 31, 2024Firm absorbed (people side)derivedVANTAGE FINANCIAL PARTNERS LIMITEDRAUM $572MandHIGHPOINT PLANNING PARTNERS