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
- Sloan Investment Management, L.L.C.'s advisors moved to EP Wealth Advisors (Dallas, TX): 4 of 4 registered, on the same dayJul 31, 2024Firm absorbed (people side)derivedSLOAN INVESTMENT MANAGEMENT, L.L.C.RAUM $716MandEP WEALTH ADVISORS
- Diversify Wealth Management LLC's advisors moved to Diversify Wealth Management, LLC (Orem, UT): 18 of 23 registered, on the same dayJul 17, 2024Firm absorbed (people side)derivedDIVERSIFY WEALTH MANAGEMENT LLCRAUM $540MandDIVERSIFY WEALTH MANAGEMENT, LLC
- Highlander Capital Management LLC's advisors moved to Carnegie Lake Advisors LLC (Short Hills, NJ): 7 of 9 registered, on the same dayJul 17, 2024Firm absorbed (people side)derivedHIGHLANDER CAPITAL MANAGEMENT LLCRAUM $352MandCARNEGIE LAKE ADVISORS LLC
- Cook Street Consulting, Inc.'s advisors moved to Fiduciary Consulting Group (Greenwood Village, CO): 12 of 14 registered, on the same dayJul 16, 2024Firm absorbed (people side)derivedCOOK STREET CONSULTING, INC.RAUM $7.1BandFIDUCIARY CONSULTING GROUP
- Caliber Wealth Management, LLC's advisors moved to Diversify Wealth Management, LLC (Orem, UT): 5 of 5 registered, on the same dayJul 16, 2024Firm absorbed (people side)derivedCALIBER WEALTH MANAGEMENT, LLCRAUM $503MandDIVERSIFY WEALTH MANAGEMENT, LLC
- C & J Wealth Advisors's advisors moved to Modern Wealth Management, LLC (Knoxville, TN): 4 of 4 registered, on the same dayJul 15, 2024Firm absorbed (people side)derivedC & J WEALTH ADVISORSRAUM $270MandMODERN WEALTH MANAGEMENT, LLC
- Cornerstone Wealth Strategies, Inc.'s advisors moved to LPL Financial LLC (Kennewick, WA): 4 of 7 registered, on the same dayJul 12, 2024Firm absorbed (people side)derivedCORNERSTONE WEALTH STRATEGIES, INC.RAUM $1.0BandLPL FINANCIAL LLC
- The Wright Legacy Group, LLC's advisors moved to J. W. Cole Advisors, Inc. (Elizabethtown, KY): 3 of 4 registered, within 17 days
- Fiduciary Wealth Management, LLC's advisors moved to World Investment Advisors, LLC (Reston, VA): 4 of 4 registered, within 6 daysJul 10, 2024Firm absorbed (people side)derivedFIDUCIARY WEALTH MANAGEMENT, LLCRAUM $452MandWORLD INVESTMENT ADVISORS, LLC
- Alphaq Advisors's advisors moved to Haven Private (Winter Park, FL): 4 of 4 registered, on the same day
- Ifam Capital's advisors moved to Northcoast Asset Management LLC (Fort Collins, CO): 6 of 7 registered, on the same dayJul 3, 2024Firm absorbed (people side)derivedIFAM CAPITALRAUM $1.7BandNORTHCOAST ASSET MANAGEMENT LLC
- Rock House Financial's advisors moved to Wealth Enhancement Advisory Services, LLC (Farmington, UT): 6 of 6 registered, on the same dayJul 3, 2024Firm absorbed (people side)derivedROCK HOUSE FINANCIALRAUM $215MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Envoi LLC's advisors moved to Tiedemann Advisors, LLC (Minneapolis, MN): 5 of 5 registered, on the same day
- Firstwave Financial's advisors moved to Savant Wealth Management (Satellite Beach, FL): 3 of 3 registered, on the same day
- Cedar Brook Group's advisors moved to Cadaret Grant & CO Inc (Cleveland, OH): 9 of 18 registered, on the same day
- Atlas Private Wealth Management, LLC's advisors moved to Focus Partners Wealth, LLC (Albany, NY): 6 of 8 registered, on the same dayJul 1, 2024Firm absorbed (people side)derivedATLAS PRIVATE WEALTH MANAGEMENT, LLCRAUM $1.3BandFOCUS PARTNERS WEALTH, LLC
- Tmd Wealth Management's advisors moved to Northcoast Asset Management LLC (Scottsdale, AZ): 5 of 5 registered, on the same dayJul 1, 2024Firm absorbed (people side)derivedTMD WEALTH MANAGEMENTRAUM $781MandNORTHCOAST ASSET MANAGEMENT LLC
- Starfox Financial Services, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (The Woodlands, TX): 3 of 3 registered, on the same dayJul 1, 2024Firm absorbed (people side)derivedSTARFOX FINANCIAL SERVICES, LLCRAUM $253MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Eaton Financial Group's advisors moved to Palm Wealth Partners (Boca Raton, FL): 5 of 9 registered, on the same dayJun 28, 2024Firm absorbed (people side)derivedEATON FINANCIAL GROUPRAUM $382MandPALM WEALTH PARTNERS
- Van Leeuwen & Company, LLC's advisors moved to LPL Financial LLC (Princeton, NJ): 3 of 4 registered, on the same dayJun 28, 2024Firm absorbed (people side)derivedVAN LEEUWEN & COMPANY, LLCRAUM $309MandLPL FINANCIAL LLC
- Phillips Capital Advisors, Inc.'s advisors moved to Thurston Springer Advisors (Oklahoma City, OK): 12 of 13 registered, on the same dayJun 28, 2024Firm absorbed (people side)derivedPHILLIPS CAPITAL ADVISORS, INC.RAUM $589MandTHURSTON SPRINGER ADVISORS
- The Financial Advisory Group, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Houston, TX): 10 of 11 registered, on the same dayJun 21, 2024Firm absorbed (people side)derivedTHE FINANCIAL ADVISORY GROUP, LLCRAUM $1.2BandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Atlas Fiduciary Financial, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Sarasota, FL): 3 of 4 registered, on the same dayJun 18, 2024Firm absorbed (people side)derivedATLAS FIDUCIARY FINANCIAL, LLCRAUM $231MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Benedetti, Gucer & Associates's advisors moved to Beam Wealth Advisors, Inc. (Atlanta, GA): 8 of 10 registered, on the same dayJun 17, 2024Firm absorbed (people side)derivedBENEDETTI, GUCER & ASSOCIATESRAUM $572MandBEAM WEALTH ADVISORS, INC.
- Ars Investment Advisors, Inc.'s advisors moved to Cwm, LLC (Kaysville, UT): 4 of 4 registered, on the same day
- Mgm LLC's advisors moved to The H Group, Inc. (Albuquerque, NM): 3 of 3 registered, on the same day
- Brite Advisors USA, Inc.'s advisors moved to Beacon Global Advisor Network, LLC (New York, NY): 6 of 9 registered, within 6 daysJun 4, 2024Firm absorbed (people side)derivedBRITE ADVISORS USA, INC.RAUM $468MandBEACON GLOBAL ADVISOR NETWORK, LLC
- The Retirement Group, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (San Diego, CA): 11 of 16 registered, within 7 daysMay 31, 2024Firm absorbed (people side)derivedTHE RETIREMENT GROUP, LLCRAUM $544MandWEALTH ENHANCEMENT ADVISORY SERVICES, LLC
- Ml&R Wealth Management LLC's advisors moved to Creative Planning (Austin, TX): 11 of 11 registered, on the same dayMay 29, 2024Firm absorbed (people side)derivedML&R WEALTH MANAGEMENT LLCRAUM $1.8BandCREATIVE PLANNING
- Lee Financial Group Hawaii, Inc.'s advisors moved to Cetera Planning Partners (Honolulu, HI): 5 of 5 registered, on the same dayMay 29, 2024Firm absorbed (people side)derivedLEE FINANCIAL GROUP HAWAII, INC.RAUM $226MandCETERA PLANNING PARTNERS
- Wealth Legacy Institute, Inc.'s advisors moved to Cerity Partners LLC (Denver, CO): 3 of 3 registered, on the same dayMay 20, 2024Firm absorbed (people side)derivedWEALTH LEGACY INSTITUTE, INC.RAUM $197MandCERITY PARTNERS LLC
- Zcm's advisors moved to F/M Investments LLC (Milwaukee, WI): 4 of 7 registered, on the same day
- Soundmark Wealth Management, LLC's advisors moved to Edelman Financial Engines (Kirkland, WA): 4 of 5 registered, on the same dayMay 8, 2024Firm absorbed (people side)derivedSOUNDMARK WEALTH MANAGEMENT, LLCRAUM $411MandEDELMAN FINANCIAL ENGINES
- Crestone Asset Management LLC's advisors moved to Pathstone (Boulder, CO): 4 of 4 registered, within 6 days
- Fullen Financial Group, Inc.'s advisors moved to Avior Wealth Management, LLC (Columbus, OH): 3 of 3 registered, on the same dayMay 7, 2024Firm absorbed (people side)derivedFULLEN FINANCIAL GROUP, INC.RAUM $282MandAVIOR WEALTH MANAGEMENT, LLC
- Efp Advisors's advisors moved to Waverly Advisors, LLC (Jackson, MS): 3 of 3 registered, a day apart
- Strategic Wealth Partners's advisors moved to Northcoast Asset Management LLC (Deerfield, IL): 22 of 22 registered, on the same dayMay 6, 2024Firm absorbed (people side)derivedSTRATEGIC WEALTH PARTNERSRAUM $3.5BandNORTHCOAST ASSET MANAGEMENT LLC
- Clearlogic Financial, Inc.'s advisors moved to Apella Wealth (Reston, VA): 6 of 6 registered, on the same day
- Wacker Wealth Partners, LLC's advisors moved to EP Wealth Advisors (San Luis Obispo, CA): 9 of 10 registered, on the same dayApr 30, 2024Firm absorbed (people side)derivedWACKER WEALTH PARTNERS, LLCRAUM $1.1BandEP WEALTH ADVISORS
- Grey Street Capital, LLC's advisors moved to The Caprock Group, LLC (Chicago, IL): 5 of 8 registered, on the same dayApr 23, 2024Firm absorbed (people side)derivedGREY STREET CAPITAL, LLCRAUM $2.0BandTHE CAPROCK GROUP, LLC
- Wilbanks, Smith & Thomas Asset Management, LLC's advisors moved to Clearstead; Clearstead Advisory Solutions (Norfolk, VA): 21 of 22 registered, within 24 daysApr 19, 2024Firm absorbed (people side)derivedWILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLCRAUM $191MandCLEARSTEAD; CLEARSTEAD ADVISORY SOLUTIONS
- Crestone Asset Management LLC's advisors moved to Pathstone (Boulder, CO): 20 of 25 registered, within 3 days
- Meeder Asset Management, Inc.'s advisors moved to Summit Financial, LLC (Dublin, OH): 3 of 4 registered, on the same dayApr 9, 2024Firm absorbed (people side)derivedMEEDER ASSET MANAGEMENT, INC.RAUM $3.3BandSUMMIT FINANCIAL, LLC
- Capital Financial Consultants Group, Inc.'s advisors moved to Blue Sky Capital Consultants Group, Inc. (San Juan Capistrano, CA): 3 of 6 registered, on the same dayApr 3, 2024Firm absorbed (people side)derivedCAPITAL FINANCIAL CONSULTANTS GROUP, INC.RAUM $42.0MandBLUE SKY CAPITAL CONSULTANTS GROUP, INC.
- Rainsberger Wealth Advisors's advisors moved to Waverly Advisors, LLC (Colorado Springs, CO): 4 of 4 registered, on the same dayApr 2, 2024Firm absorbed (people side)derivedRAINSBERGER WEALTH ADVISORSRAUM $356MandWAVERLY ADVISORS, LLC
- Walpole Financial Advisors, LLC's advisors moved to Platform Wealth Advisors (Goleta, CA): 4 of 5 registered, on the same dayApr 2, 2024Firm absorbed (people side)derivedWALPOLE FINANCIAL ADVISORS, LLCRAUM $281MandPLATFORM WEALTH ADVISORS
- Corepath Wealth Partners LLC's advisors moved to Salus Financial Advisors (Scottsdale, AZ): 3 of 6 registered, on the same dayMar 29, 2024Firm absorbed (people side)derivedCOREPATH WEALTH PARTNERS LLCRAUM $261MandSALUS FINANCIAL ADVISORS
- Blue Water Capital Management, LLC's advisors moved to Perigon Wealth Management, LLC (Syracuse, NY): 3 of 3 registered, on the same dayMar 29, 2024Firm absorbed (people side)derivedBLUE WATER CAPITAL MANAGEMENT, LLCRAUM $150MandPERIGON WEALTH MANAGEMENT, LLC
- True Wealth & Company's advisors moved to Intellicents Investment Solutions Inc (Overland Park, KS): 4 of 4 registered, on the same dayMar 29, 2024Firm absorbed (people side)derivedTRUE WEALTH & COMPANYRAUM $126MandINTELLICENTS INVESTMENT SOLUTIONS INC
- Summit Wealth Advocates, LLC's advisors moved to Avantax Planning Partners, Inc. (Prior Lake, MN): 3 of 3 registered, on the same dayMar 28, 2024Firm absorbed (people side)derivedSUMMIT WEALTH ADVOCATES, LLCRAUM $315MandAVANTAX PLANNING PARTNERS, INC.
- Trutina Financial's advisors moved to Captrust (Bellevue, WA): 11 of 11 registered, on the same day
- Wdc Advisors, LLC's advisors moved to Turning Point Financial (Camp Hill, PA): 3 of 3 registered, on the same day
- Simplicity Solutions, LLC's advisors moved to Simplicity Wealth (Minneapolis, MN): 3 of 3 registered, on the same dayMar 27, 2024Firm absorbed (people side)derivedSIMPLICITY SOLUTIONS, LLCRAUM $3.3BandSIMPLICITY WEALTH
- Wasserman Wealth Management, LLC's advisors moved to Buckingham Strategic Wealth, LLC (Farmington Hills, MI): 3 of 3 registered, on the same dayMar 27, 2024Firm absorbed (people side)derivedWASSERMAN WEALTH MANAGEMENT, LLCRAUM $306MandBUCKINGHAM STRATEGIC WEALTH, LLC
- Engrave Wealth Partners, LLC's advisors moved to Captrust (The Woodlands, TX): 6 of 7 registered, on the same day
- First Ascent Asset Management, LLC's advisors moved to Geowealth Management LLC (Denver, CO): 4 of 4 registered, on the same dayMar 25, 2024Firm absorbed (people side)derivedFIRST ASCENT ASSET MANAGEMENT, LLCRAUM $1.4BandGEOWEALTH MANAGEMENT LLC
- Strategiq Financial Group, LLC's advisors moved to Waverly Advisors, LLC (Merrillville, IN): 16 of 18 registered, within 6 daysMar 23, 2024Firm absorbed (people side)derivedSTRATEGIQ FINANCIAL GROUP, LLCRAUM $1.6BandWAVERLY ADVISORS, LLC
- Lumin Financial, LLC's advisors moved to Perigon Wealth Management, LLC (Southfield, MI): 3 of 3 registered, on the same dayMar 21, 2024Firm absorbed (people side)derivedLUMIN FINANCIAL, LLCRAUM $175MandPERIGON WEALTH MANAGEMENT, LLC
- Telemus Capital, LLC's advisors moved to Northcoast Asset Management LLC (Southfield, MI): 16 of 22 registered, on the same dayMar 21, 2024Firm absorbed (people side)derivedTELEMUS CAPITAL, LLCRAUM $3.0BandNORTHCOAST ASSET MANAGEMENT LLC
- Bridgeworth Wealth Management's advisors moved to Savant Wealth Management (Birmingham, AL): 20 of 25 registered, a day apartMar 19, 2024Firm absorbed (people side)derivedBRIDGEWORTH WEALTH MANAGEMENTandSAVANT WEALTH MANAGEMENT