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.
Advisor teams
Teams that left Cetera Advisors LLC
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 10 | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Pittsford, Ny +6 | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 over 1 d |
| 2 | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Wilmette, Il | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 |
| 2 | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Boylston, Ma +1 | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 |
| 2 | Cetera Advisors LLC BD affiliated | Ergawealth Advisors, Inc. independent RIA | Oak Brook, Il +1 | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 |
| 2 | Cetera Advisors LLC BD affiliated | M1 Capital Management LLC independent RIA | Milford, Mi +1 | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2024 |
| 2 | Cetera Advisors LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Overland Park, Ks | Affiliated broker-dealer or bank to another | Mar 7, 2024 over 6 d |
| 2 | Cetera Advisors LLC BD affiliated | Commonwealth Financial Network national BD | Tarrytown, Ny | Affiliated broker-dealer or bank to another | Feb 12, 2024 |
| 3 | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Conroe, Tx +1 | Affiliated broker-dealer or bank to another | Feb 5, 2024 over 2 d |
| 2 | Cetera Advisors LLC BD affiliated | Commonwealth Financial Network national BD | Marlton, Nj | Affiliated broker-dealer or bank to another | Jan 18, 2024 over 5 d |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Salem, Or | Affiliated broker-dealer or bank to another | Oct 4, 2023 |
| 2 | Cetera Advisors LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Oklahoma City, Ok | Affiliated broker-dealer or bank to another | Jun 23, 2023 over 3 d |
| 2 | Cetera Advisors LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Overland Park, Ks | Affiliated broker-dealer or bank to another | Nov 30, 2022 |
| 3 | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Edmond, Ok +1 | Affiliated broker-dealer or bank to another | Nov 25, 2022 over 3 d |
| 2 | Cetera Advisors LLC BD affiliated | Heritage Asset Management, LLC no RAUM | Overland Park, Ks | Affiliated broker-dealer or bank to a newly registered adviser | Oct 19, 2022 over 1 d |
| 2 | Cetera Advisors LLC BD affiliated | First Advisors National, LLC independent RIA | Allen Park, Mi | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2022 |
| 2 | Cetera Advisors LLC BD affiliated | Spc BD affiliated | Rockford, Mi +1 | Affiliated broker-dealer or bank to another | Jun 17, 2022 |
| 2 | Cetera Advisors LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Chanhassen, Mn | Affiliated broker-dealer or bank to another | May 2, 2022 |
| 3 | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Marietta, Oh +1 | Affiliated broker-dealer or bank to another | Oct 5, 2021 |
| 2 | Cetera Advisors LLC BD affiliated | Stewardship Financial Advisors, LLC independent RIA | Stockbridge, Ga +1 | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2021 |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Porter, In +1 | Affiliated broker-dealer or bank to another | Jul 15, 2021 over 1 d |
| 2 | Cetera Advisors LLC BD affiliated | Rockport Wealth Advisors independent RIA | Fairview Park, Oh | Affiliated broker-dealer or bank to independent RIA | Jan 28, 2021 |
| 10 | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Omaha, Ne +1 | Affiliated broker-dealer or bank to another | Sep 1, 2020 over 9 d |
| 6 | Cetera Advisors LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Tulsa, Ok +1 | Affiliated broker-dealer or bank to another | Aug 14, 2020 over 4 d |
| 3 | Cetera Advisors LLC BD affiliated | Moulton Wealth Management, Inc independent RIA | Kennewick, Wa +1 | Affiliated broker-dealer or bank to independent RIA | May 18, 2020 over 1 d |
| 2 | Cetera Advisors LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Rochester, Mi | Affiliated broker-dealer or bank to another | May 5, 2020 |
| 3 | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC independent RIA | Portland, Or | Affiliated broker-dealer or bank to independent RIA | Feb 11, 2020 |
| 2 | Cetera Advisors LLC BD affiliated | Bright Futures Wealth Management, LLC independent RIA | Rockville, Md | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 |
| 3 | Cetera Advisors LLC BD affiliated | Synergy Investment Management LLC no RAUM | The Villages, Fl +1 | Affiliated broker-dealer or bank to a newly registered adviser | Dec 12, 2019 over 14 d |
| 3 | Cetera Advisors LLC BD affiliated | LPL Financial LLC BD affiliated | Maitland, Fl +1 | Affiliated broker-dealer or bank to another | Dec 11, 2019 over 15 d |
| 2 | Cetera Advisors LLC BD affiliated | Independent Financial Partners BD affiliated | Greenwood Village, Co | Affiliated broker-dealer or bank to another | Sep 17, 2019 over 6 d |
| 2 | Cetera Advisors LLC BD affiliated | Independent Financial Partners BD affiliated | Boulder, Co +1 | Affiliated broker-dealer or bank to another | Aug 26, 2019 |
| 2 | Cetera Advisors LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | San Jose, Ca | Affiliated broker-dealer or bank to another | Aug 22, 2019 |
| 2 | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Windsor, Ct | Affiliated broker-dealer or bank to another | Jul 11, 2019 over 5 d |
| 2 | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Pocatello, Id | Affiliated broker-dealer or bank to another | May 31, 2019 |
| 3 | Cetera Advisors LLC BD affiliated | American Portfolios Advisors, Inc independent RIA | Smithtown, Ny | Affiliated broker-dealer or bank to independent RIA | May 14, 2019 over 7 d |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Walnut Creek, Ca +1 | Affiliated broker-dealer or bank to independent RIA | May 14, 2019 |
| 2 | Cetera Advisors LLC BD affiliated | Prosperity Planning no RAUM | Overland Park, Ks | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC independent RIA | Greenwood Village, Co | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | Cascadia Advisory Services, LLC independent RIA | Portland, Or | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | Springside Partners LLC independent RIA | Akron, Oh +1 | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2018 over 1 d |
| 2 | Cetera Advisors LLC BD affiliated | Kozak & Tripp Private Asset Management, Inc. other | Greenwood Village, Co | Other | Oct 10, 2018 over 1 d |
| 2 | Cetera Advisors LLC BD affiliated | Charles Schwab & Co., Inc. national BD | Salisbury, Md | Affiliated broker-dealer or bank to another | Sep 27, 2018 over 4 d |
| 2 | Cetera Advisors LLC BD affiliated | Presper Financial Architects, LLC no RAUM | Akron, Oh | Affiliated broker-dealer or bank to a newly registered adviser | Aug 31, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | East Rochester, Ny +1 | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2018 over 14 d |
| 5 | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Richmond, Va | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | Kms Financial Services, Inc BD affiliated | Santa Cruz, Ca | Affiliated broker-dealer or bank to another | Jul 26, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Mccomb, Ms +1 | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2018 over 12 d |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Boston, Ma +1 | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2018 over 8 d |
| 2 | Cetera Advisors LLC BD affiliated | LPL Financial LLC independent RIA | Tulsa, Ok | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | Blue Summit Wealth Management independent RIA | La Mesa, Ca | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2018 |
| 2 | Cetera Advisors LLC BD affiliated | Blue Jay Financial Group, LLC independent RIA | Defiance, Oh | Affiliated broker-dealer or bank to independent RIA | May 2, 2018 |
| 2 | Cetera Advisors LLC other | Kms Financial Services, Inc BD affiliated | Greenwood Village, Co | Other | Feb 28, 2018 over 14 d |
| 3 | Cetera Advisors LLC other | Engage Wealth Advisors, LLC mixed wealth | Overland Park, Ks | Other | Oct 25, 2017 over 9 d |
| 2 | Cetera Advisors LLC other | Dynamic Financial Group no RAUM | Cedar Falls, Ia | Other | Aug 28, 2017 |
| 2 | Cetera Advisors LLC other | Ameriprise Financial Services, LLC national BD | Midland, Mi | Other | Jul 10, 2017 |
| 2 | Cetera Advisors LLC other | 1st Global Advisors Inc other | Houston, Tx +1 | Other | Mar 17, 2017 |
| 2 | Cetera Advisors LLC other | Securities America Advisors, Inc. other | El Paso, Tx | Other | Mar 9, 2017 over 8 d |
| 2 | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Overland Park, Ks +1 | Other | Oct 6, 2016 |
| 2 | Cetera Advisors LLC other | LPL Financial LLC other | Baton Rouge, La | Other | Aug 30, 2016 |
| 4 | Cetera Advisors LLC other | Strategic Wealth Group no RAUM | Minnetonka, Mn | Other | Aug 8, 2016 over 3 d |
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66 teams match.derived from registration dates