DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Offices
Where advisors are leaving, and where they are arriving
An office is a firm and a branch city on IAPD. Advisors today is the count of people whose current registration lists that branch; a departure is a registration ending at the firm whose last listed branch was this city; a join is a current registration that began in the window. Teams are the lift-outs and arrivals on the teams page, placed at their top city. Breakaways in formation counts advisors at this office who are direct owners of an adviser first registered in the last year. Street addresses are not read.
| Firm | Office | Advisors | Joined 12m | Left 12m | Net | Rate | Teams out | Teams in | Forming |
|---|---|---|---|---|---|---|---|---|---|
| VALEO FINANCIAL ADVISORS, LLC independent RIA | Carmel, In · principal | 108 | 12 | 8 | +4 | 7.4% | |||
| CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC institutional | Newport Beach, Ca · principal | 89 | 7 | 8 | -1 | 9.0% | |||
| GOOD LIFE ADVISORS, LLC independent RIA | Celebration, Fl · principal | 88 | 8 | 8 | 0 | 9.1% | 2 | ||
| WELLS FARGO ADVISORS wirehouse | Sacramento, Ca | 88 | 5 | 8 | -3 | 9.1% | |||
| NORTHERN TRUST SECURITIES, INC BD affiliated | Chicago, Il · principal | 87 | 14 | 8 | +6 | 9.2% | |||
| UBS FINANCIAL SERVICES INC. wirehouse | Boca Raton, Fl | 82 | 8 | 8 | 0 | 9.8% | 1 | ||
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse | Sacramento, Ca | 72 | 10 | 8 | +2 | 11% | 1 | ||
| GRADIENT WEALTH MANAGEMENT BD affiliated | Arden Hills, Mn · principal | 64 | 8 | 8 | 0 | 13% | 1 | ||
| JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC BD affiliated | Boston, Ma · principal | 63 | 10 | 8 | +2 | 13% | 1 | ||
| EQUITABLE ADVISORS, LLC national BD | Independence, Oh | 55 | 16 | 8 | +8 | 15% | 1 | ||
| OSAIC WEALTH, INC. BD affiliated | Rochester, Ny | 55 | 3 | 8 | -5 | 15% | 3 | ||
| PRINCIPAL ADVISED SERVICES BD affiliated | Charlotte, Nc | 55 | 18 | 8 | +10 | 15% | 1 | ||
| EQUITABLE ADVISORS, LLC national BD | Houston, Tx | 47 | 9 | 8 | +1 | 17% | |||
| ELEVATE FINANCIAL PLANNING AND WEALTH MANAGEMENT independent RIA | St Petersburg, Fl | 46 | 19 | 8 | +11 | 17% | 1 | ||
| EQUITABLE ADVISORS, LLC national BD | Secaucus, Nj | 40 | 11 | 8 | +3 | 20% | |||
| EQUITABLE ADVISORS, LLC national BD | Raleigh, Nc | 39 | 8 | 8 | 0 | 21% | |||
| ORIGIN INVESTMENT ADVISORY LLC independent RIA | Sarasota, Fl | 33 | 3 | 8 | -5 | 24% | |||
| RETIREMENT PLANNERS OF AMERICA independent RIA | Plano, Tx · principal | 33 | 2 | 8 | -6 | 24% | 2 | ||
| UBS FINANCIAL SERVICES INC. wirehouse | Greenville, Sc | 31 | 3 | 8 | -5 | 26% | |||
| EDWARD JONES national BD | Tucson, Az | 31 | 1 | 8 | -7 | 26% | 2 | ||
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC BD affiliated | Houston, Tx | 31 | 1 | 8 | -7 | 26% | 2 | ||
| OSAIC WEALTH, INC. BD affiliated | St Louis, Mo | 21 | 0 | 8 | -8 | 38% | 1 | 3 | |
| KEENAN FINANCIAL independent RIA | Boston, Ma · principal | 19 | 7 | 8 | -1 | 42% | |||
| CETERA INVESTMENT ADVISERS LLC BD affiliated | Arlington, Tx | 13 | 1 | 8 | -7 | 62% | 1 | ||
| NEPSIS, INC. independent RIA | Minneapolis, Mn · principal | 12 | 0 | 8 | -8 | 67% | |||
| COMMONWEALTH FINANCIAL NETWORK national BD | Columbia, Md | 11 | 1 | 8 | -7 | 73% | 1 | ||
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC no RAUM | Baton Rouge, La | 9 | 0 | 8 | -8 | 89% | 1 | ||
| OXFORD WEALTH GROUP, LLC independent RIA | Orlando, Fl · principal | 7 | 2 | 8 | -6 | 114% | 1 | ||
| J.P. MORGAN SECURITIES LLC wirehouse | Columbus, Oh | 625 | 101 | 7 | +94 | 1.1% | |||
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse | Boston, Ma | 530 | 62 | 7 | +55 | 1.3% | 1 | 4 | |
| ADVICE AND PLANNING SERVICES BD affiliated | Charlotte, Nc | 431 | 89 | 7 | +82 | 1.6% | 3 | ||
| WELLS FARGO ADVISORS wirehouse | Minneapolis, Mn | 407 | 50 | 7 | +43 | 1.7% | |||
| UBS FINANCIAL SERVICES INC. wirehouse | San Francisco, Ca | 272 | 32 | 7 | +25 | 2.6% | |||
| CHARLES SCHWAB & CO., INC. national BD | Orlando, Fl | 257 | 66 | 7 | +59 | 2.7% | |||
| WELLS FARGO ADVISORS wirehouse | San Diego, Ca | 218 | 17 | 7 | +10 | 3.2% | 4 | 1 | |
| PARK AVENUE SECURITIES LLC BD affiliated | New York, Ny · principal | 211 | 21 | 7 | +14 | 3.3% | |||
| FEDERATED SECURITIES CORP. no RAUM | Pittsburgh, Pa · principal | 210 | 14 | 7 | +7 | 3.3% | |||
| ORION PORTFOLIO SOLUTIONS, LLC BD affiliated | Omaha, Ne · principal | 199 | 41 | 7 | +34 | 3.5% | |||
| GOLDMAN SACHS WEALTH SERVICES, L.P. BD affiliated | Newport Beach, Ca | 159 | 26 | 7 | +19 | 4.4% | 1 | ||
| HB WEALTH independent RIA | Atlanta, Ga · principal | 156 | 45 | 7 | +38 | 4.5% | 1 | ||
| MORGAN STANLEY wirehouse | Cincinnati, Oh | 152 | 8 | 7 | +1 | 4.6% | 1 | ||
| J.P. MORGAN SECURITIES LLC wirehouse | Brooklyn, Ny | 150 | 27 | 7 | +20 | 4.7% | 1 | ||
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse | San Jose, Ca | 148 | 28 | 7 | +21 | 4.7% | 1 | 1 | |
| WELLS FARGO ADVISORS wirehouse | San Jose, Ca | 145 | 17 | 7 | +10 | 4.8% | 2 | 1 | |
| AMERIPRISE FINANCIAL SERVICES, LLC national BD | New York, Ny | 132 | 16 | 7 | +9 | 5.3% | 2 | 1 | |
| J.P. MORGAN SECURITIES LLC wirehouse | Denver, Co | 124 | 30 | 7 | +23 | 5.6% | |||
| SOUND INCOME STRATEGIES, LLC independent RIA | Fort Lauderdale, Fl · principal | 122 | 28 | 7 | +21 | 5.7% | |||
| ALLIANCEBERNSTEIN L.P. other | New York, Ny | 113 | 15 | 7 | +8 | 6.2% | 1 | ||
| INDEPENDENT FINANCIAL GROUP, LLC BD affiliated | San Diego, Ca · principal | 105 | 22 | 7 | +15 | 6.7% | 1 | ||
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse | Nashville, Tn | 93 | 13 | 7 | +6 | 7.5% | 1 | ||
| MORGAN STANLEY wirehouse | Bethesda, Md | 93 | 8 | 7 | +1 | 7.5% | 1 | ||
| LPL FINANCIAL LLC BD affiliated | Newport Beach, Ca | 92 | 9 | 7 | +2 | 7.6% | |||
| LPL ENTERPRISE, LLC BD affiliated | St Louis Park, Mn | 90 | 15 | 7 | +8 | 7.8% | |||
| MORGAN STANLEY wirehouse | Long Beach, Ca | 90 | 18 | 7 | +11 | 7.8% | 1 | ||
| CHARLES SCHWAB & CO., INC. national BD | St Louis, Mo | 90 | 23 | 7 | +16 | 7.8% | 1 | 1 | |
| HORNOR, TOWNSEND & KENT, LLC independent RIA | Conshohocken, Pa · principal | 86 | 13 | 7 | +6 | 8.1% | |||
| ZACKS INVESTMENT MANAGEMENT, INC. mixed wealth | Chicago, Il · principal | 81 | 16 | 7 | +9 | 8.6% | |||
| ALLY INVEST ADVISORS independent RIA | Charlotte, Nc · principal | 81 | 12 | 7 | +5 | 8.6% | |||
| INTEGRATED ADVISORS NETWORK LLC independent RIA | Dallas, Tx · principal | 78 | 11 | 7 | +4 | 9.0% | 2 | ||
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse | Mount Laurel, Nj | 78 | 6 | 7 | -1 | 9.0% | 1 |
22,741 offices match.