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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Northbrook, Il	107	8	6	+2	5.6%
EATON VANCE MANAGEMENT asset manager	Boston, Ma · principal	106	0	6	-6	5.7%
WELLS FARGO ADVISORS wirehouse	Las Vegas, Nv	104	13	6	+7	5.8%	1	1
CETERA INVESTMENT ADVISERS LLC BD affiliated	Houston, Tx	102	9	6	+3	5.9%	1
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC BD affiliated	Minneapolis, Mn · principal	99	18	6	+12	6.1%
RAYMOND JAMES & ASSOCIATES, INC. national BD	Coral Gables, Fl	97	9	6	+3	6.2%	2
MORGAN STANLEY wirehouse	Mclean, Va	94	6	6	0	6.4%	1
EDWARD JONES national BD	Houston, Tx	88	13	6	+7	6.8%
MORGAN STANLEY wirehouse	Tempe, Az	88	25	6	+19	6.8%	1
RAYMOND JAMES & ASSOCIATES, INC. national BD	Chicago, Il	84	6	6	0	7.1%	1
LPL ENTERPRISE, LLC BD affiliated	Fort Mill, Sc · principal	77	10	6	+4	7.8%
CONCORDE ASSET MANAGEMENT, LLC BD affiliated	Ann Arbor, Mi · principal	77	9	6	+3	7.8%	1
EQUITABLE ADVISORS, LLC national BD	Wellesley, Ma	76	55	6	+49	7.9%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Westlake Village, Ca	72	6	6	0	8.3%	1
ALLIANCEBERNSTEIN L.P. other	Nashville, Tn · principal	71	9	6	+3	8.5%
LPL ENTERPRISE, LLC BD affiliated	Indianapolis, In	71	25	6	+19	8.5%
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC no RAUM	New York, Ny	70	26	6	+20	8.6%
AMERIPRISE FINANCIAL SERVICES, LLC national BD	Seattle, Wa	68	8	6	+2	8.8%
TRUIST ADVISORY SERVICES, INC. BD affiliated	Orlando, Fl	61	6	6	0	9.8%
LPL ENTERPRISE, LLC BD affiliated	Houston, Tx	59	14	6	+8	10%
PUTNAM INVESTMENT MANAGEMENT, LLC asset manager	Boston, Ma · principal	57	0	6	-6	11%
FLORIDA FINANCIAL ADVISORS, LLC BD affiliated	Vienna, Va	55	26	6	+20	11%
TRUIST ADVISORY SERVICES, INC. BD affiliated	Tampa, Fl	52	8	6	+2	12%	2	1
FLORIDA FINANCIAL ADVISORS, LLC BD affiliated	Miami Lakes, Fl	47	18	6	+12	13%	1
LPL ENTERPRISE, LLC BD affiliated	San Jose, Ca	47	6	6	0	13%	1
EDWARD JONES national BD	Denver, Co	46	6	6	0	13%	1
MML INVESTORS SERVICES, LLC BD affiliated	Houston, Tx	43	8	6	+2	14%
OSAIC WEALTH, INC. BD affiliated	San Ramon, Ca	43	3	6	-3	14%	1
ALDEN INVESTMENT GROUP independent RIA	Wayne, Pa · principal	40	6	6	0	15%	1
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED wirehouse	Ann Arbor, Mi	37	1	6	-5	16%	2
FLORIDA FINANCIAL ADVISORS, LLC BD affiliated	Nashville, Tn	37	19	6	+13	16%
LPL ENTERPRISE, LLC BD affiliated	Plano, Tx	33	17	6	+11	18%
CARNEGIE INVESTMENT COUNSEL independent RIA	Pepper Pike, Oh · principal	33	4	6	-2	18%	1
UBS ASSET MANAGEMENT (AMERICAS) LLC mixed wealth	New York, Ny · principal	32	9	6	+3	19%	1
AMERIPRISE FINANCIAL SERVICES, LLC national BD	Franklin, Tn	30	1	6	-5	20%	1	1
MML INVESTORS SERVICES, LLC BD affiliated	Seattle, Wa	29	5	6	-1	21%
BOGART WEALTH, LLC independent RIA	Mclean, Va · principal	25	5	6	-1	24%
UBS FINANCIAL SERVICES INC. wirehouse	The Woodlands, Tx	24	1	6	-5	25%	1
OSAIC WEALTH, INC. BD affiliated	Pittsford, Ny	23	1	6	-5	26%	1
COMMONWEALTH FINANCIAL NETWORK national BD	Burlington, Ma	20	2	6	-4	30%	2
ADVICE AND PLANNING SERVICES BD affiliated	Denver, Co	18	1	6	-5	33%
CETERA INVESTMENT ADVISERS LLC BD affiliated	Knoxville, Tn	16	0	6	-6	38%	1	1
CETERA INVESTMENT ADVISERS LLC BD affiliated	Greensboro, Nc	15	0	6	-6	40%	3
CFO4LIFE independent RIA	Coppell, Tx · principal	13	3	6	-3	46%
CETERA INVESTMENT ADVISERS LLC BD affiliated	Medford, Or	10	2	6	-4	60%	1
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC no RAUM	Minneapolis, Mn	8	3	6	-3	75%	1
WELLS FARGO ADVISORS wirehouse	Houston, Tx	8	4	6	-2	75%	1
SUNCOAST EQUITY MANAGEMENT, LLC independent RIA	Tampa, Fl · principal	7	0	6	-6	86%	1
WELLS FARGO ADVISORS wirehouse	Florham Park, Nj	6	1	6	-5	100%	1
COMMONWEALTH FINANCIAL NETWORK national BD	St Louis, Mo	5	0	6	-6	120%	1
COMMONWEALTH FINANCIAL NETWORK national BD	Newtown, Pa	5	0	6	-6	120%	2
NEUBERGER BERMAN BD LLC no RAUM	New York, Ny · principal	673	90	5	+85	0.7%
CITIGROUP GLOBAL MARKETS INC. BD affiliated	Miami, Fl	368	64	5	+59	1.4%
CHARLES SCHWAB & CO., INC. national BD	Omaha, Ne	291	46	5	+41	1.7%
MERIT FINANCIAL ADVISORS BD affiliated	Alpharetta, Ga · principal	282	103	5	+98	1.8%
PRIME CAPITAL FINANCIAL mixed wealth	Overland Park, Ks · principal	262	40	5	+35	1.9%
WELLS FARGO ADVISORS wirehouse	Irvine, Ca	247	21	5	+16	2.0%	1
WELLS FARGO ADVISORS wirehouse	Tarpon Springs, Fl	223	18	5	+13	2.2%	1
UBS FINANCIAL SERVICES INC. wirehouse	Boston, Ma	221	20	5	+15	2.3%	1
ASSETMARK, INC. BD affiliated	Concord, Ca · principal	215	54	5	+49	2.3%	1

Page 7 of 380Previous Next

22,741 offices match.