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
LPL ENTERPRISE, LLC BD affiliated	Melville, Ny	75	13	7	+6	9.3%
EQUITABLE ADVISORS, LLC national BD	Rochester, Ny	72	17	7	+10	9.7%
J.P. MORGAN SECURITIES LLC wirehouse	Scottsdale, Az	61	6	7	-1	11%		1
CETERA INVESTMENT ADVISERS LLC BD affiliated	Atlanta, Ga	56	5	7	-2	13%	1	1
EQUITABLE ADVISORS, LLC national BD	Minneapolis, Mn	54	13	7	+6	13%
WELLS FARGO ADVISORS wirehouse	Greenville, Sc	53	9	7	+2	13%	1
PARK AVENUE SECURITIES LLC BD affiliated	Charlotte, Nc	52	8	7	+1	13%
LPL ENTERPRISE, LLC BD affiliated	Wakefield, Ma	49	8	7	+1	14%
LPL ENTERPRISE, LLC BD affiliated	Columbus, Oh	45	6	7	-1	16%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Lexington, Ky	44	7	7	0	16%	1
THE FIDUCIARY ALLIANCE independent RIA	Greenville, Sc · principal	43	14	7	+7	16%	2
COMMONWEALTH FINANCIAL NETWORK national BD	Overland Park, Ks	33	3	7	-4	21%	1
EQUITABLE ADVISORS, LLC national BD	Greenwood Village, Co	31	7	7	0	23%
UBS FINANCIAL SERVICES INC. wirehouse	Sarasota, Fl	30	2	7	-5	23%	1
GOLDMAN SACHS WEALTH SERVICES, L.P. BD affiliated	Canonsburg, Pa	30	7	7	0	23%
KEATING FINANCIAL ADVISORY SERVICES independent RIA	Manhattan, Ks · principal	25	3	7	-4	28%	2
ALLIANCEBERNSTEIN L.P. other	Houston, Tx	24	3	7	-4	29%	2
FORTHRIGHT CAPITAL independent RIA	Las Vegas, Nv · principal	21	5	7	-2	33%
EQUITABLE ADVISORS, LLC national BD	Las Vegas, Nv	18	3	7	-4	39%
COMMONWEALTH FINANCIAL NETWORK national BD	Pittsburgh, Pa	18	2	7	-5	39%	2	1
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC BD affiliated	Fayetteville, Ar	12	1	7	-6	58%	1
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC no RAUM	Seattle, Wa	11	1	7	-6	64%	1
STRATEGIC ADVISERS LLC national BD	Merrimack, Nh	924	131	6	+125	0.6%
STRATEGIC ADVISERS LLC national BD	Greenwood Village, Co	739	113	6	+107	0.8%
MORGAN STANLEY wirehouse	San Francisco, Ca	570	33	6	+27	1.1%		2
J. W. COLE ADVISORS, INC. BD affiliated	Tampa, Fl · principal	491	60	6	+54	1.2%
ROBERT W. BAIRD & CO. INCORPORATED mixed wealth	Milwaukee, Wi · principal	458	44	6	+38	1.3%
GWN SECURITIES INC. BD affiliated	Palm Beach Gardens, Fl · principal	447	27	6	+21	1.3%	1
MORGAN STANLEY wirehouse	Houston, Tx	387	20	6	+14	1.6%
FOCUS PARTNERS WEALTH, LLC independent RIA	St Louis, Mo	351	26	6	+20	1.7%
EP WEALTH ADVISORS independent RIA	Torrance, Ca · principal	336	100	6	+94	1.8%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	San Francisco, Ca	291	30	6	+24	2.1%	1	1
OPPENHEIMER & CO. INC. BD affiliated	New York, Ny · principal	274	27	6	+21	2.2%	1
CHARLES SCHWAB & CO., INC. national BD	Austin, Tx	259	44	6	+38	2.3%	1
SCHWAB WEALTH ADVISORY, INC. no RAUM	Lone Tree, Co	258	57	6	+51	2.3%	1
NUVEEN ASSET MANAGEMENT, LLC mixed wealth	Chicago, Il · principal	252	43	6	+37	2.4%
MML INVESTORS SERVICES, LLC BD affiliated	New York, Ny	243	29	6	+23	2.5%	1	3
FEDERATED INVESTMENT COUNSELING institutional	Pittsburgh, Pa · principal	242	15	6	+9	2.5%
UBS FINANCIAL SERVICES INC. wirehouse	Houston, Tx	240	18	6	+12	2.5%	1
ROCKEFELLER CAPITAL MANAGEMENT BD affiliated	New York, Ny · principal	226	58	6	+52	2.7%		2
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC institutional	New Haven, Ct · principal	222	42	6	+36	2.7%	1
STRATEGIC ADVISERS LLC national BD	New York, Ny	217	14	6	+8	2.8%		1
CITIZENS SECURITIES, INC. BD affiliated	Johnston, Ri · principal	214	30	6	+24	2.8%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Bloomfield Hills, Mi	200	9	6	+3	3.0%
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC asset manager	Boston, Ma · principal	200	36	6	+30	3.0%
UBS FINANCIAL SERVICES INC. wirehouse	Los Angeles, Ca	194	24	6	+18	3.1%	1
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Paramus, Nj	182	13	6	+7	3.3%	2
VOYA FINANCIAL ADVISORS, INC. BD affiliated	Boston, Ma	174	154	6	+148	3.4%		9
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Tampa, Fl	159	14	6	+8	3.8%	1
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Cincinnati, Oh	155	11	6	+5	3.9%
WELLS FARGO ADVISORS wirehouse	Columbia, Md	152	38	6	+32	3.9%
WELLS FARGO ADVISORS wirehouse	Denver, Co	146	17	6	+11	4.1%
WELLS FARGO ADVISORS wirehouse	Chicago, Il	138	23	6	+17	4.3%	1	1
PACKERLAND BROKERAGE SERVICES, INC. independent RIA	Green Bay, Wi · principal	137	14	6	+8	4.4%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Fort Lauderdale, Fl	135	13	6	+7	4.4%	2	1
CITIGROUP GLOBAL MARKETS INC. BD affiliated	Los Angeles, Ca	135	17	6	+11	4.4%	2
CETERA INVESTMENT ADVISERS LLC BD affiliated	Dallas, Tx	124	15	6	+9	4.8%		1
WELLS FARGO ADVISORS wirehouse	Winter Park, Fl	117	11	6	+5	5.1%	1
J.P. MORGAN SECURITIES LLC wirehouse	Seattle, Wa	114	22	6	+16	5.3%		4
WELLS FARGO ADVISORS wirehouse	Purchase, Ny	110	14	6	+8	5.5%

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22,741 offices match.