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 MML Investors Services, 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 |
|---|---|---|---|---|---|
| 2 | MML Investors Services, LLC BD affiliated | Park Avenue Securities LLC BD affiliated | San Jose, Ca +1 | Affiliated broker-dealer or bank to another | Mar 28, 2024 over 12 d |
| 4 | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Costa Mesa, Ca +1 | Affiliated broker-dealer or bank to another | Mar 5, 2024 over 1 d |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Amherst, Ny | Affiliated broker-dealer or bank to another | Feb 26, 2024 over 1 d |
| 4 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Colchester, Vt | Affiliated broker-dealer or bank to another | Feb 13, 2024 |
| 4 | MML Investors Services, LLC BD affiliated | Newedge Advisors BD affiliated | Atlanta, Ga +1 | Affiliated broker-dealer or bank to another | Feb 7, 2024 |
| 3 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Charlottesville, Va | Affiliated broker-dealer or bank to another | Feb 7, 2024 over 5 d |
| 2 | MML Investors Services, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Jan 5, 2024 |
| 3 | MML Investors Services, LLC BD affiliated | Gfg Solutions no RAUM | Orlando, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2023 over 12 d |
| 2 | MML Investors Services, LLC BD affiliated | Oneamerica Securities, Inc. BD affiliated | Hoover, Al | Affiliated broker-dealer or bank to another | Dec 12, 2023 over 8 d |
| 4 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Chicago, Il | Affiliated broker-dealer or bank to another | Nov 1, 2023 over 1 d |
| 2 | MML Investors Services, LLC BD affiliated | Family Wealth Counselors, Inc. unclassified | Fort Lauderdale, Fl | Other | Nov 1, 2023 over 1 d |
| 7 | MML Investors Services, LLC BD affiliated | Global Retirement Partners LLC institutional | Fort Lauderdale, Fl +1 | Other | Oct 31, 2023 over 1 d |
| 4 | MML Investors Services, LLC BD affiliated | Newedge Advisors BD affiliated | Brunswick, Ga +1 | Affiliated broker-dealer or bank to another | Oct 30, 2023 over 2 d |
| 4 | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Atlanta, Ga +2 | Affiliated broker-dealer or bank to another | Sep 21, 2023 over 7 d |
| 2 | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Wesley Chapel, Fl | Affiliated broker-dealer or bank to another | Sep 13, 2023 |
| 5 | MML Investors Services, LLC BD affiliated | Global Retirement Partners LLC institutional | Hunt Valley, Md | Other | Sep 1, 2023 over 5 d |
| 3 | MML Investors Services, LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Aug 31, 2023 |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Cleveland, Oh | Affiliated broker-dealer or bank to another | Aug 3, 2023 |
| 3 | MML Investors Services, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Wilsonville, Or | Affiliated broker-dealer or bank to another | Jul 27, 2023 |
| 2 | MML Investors Services, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Pleasant Hill, Ca +1 | Affiliated broker-dealer or bank to another | Jul 19, 2023 |
| 3 | MML Investors Services, LLC BD affiliated | Newedge Advisors BD affiliated | Holmdel, Nj +1 | Affiliated broker-dealer or bank to another | Jun 27, 2023 over 2 d |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Mclean, Va | Affiliated broker-dealer or bank to another | Jun 8, 2023 |
| 2 | MML Investors Services, LLC BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Colonial Heights, Va | Affiliated broker-dealer or bank to another | May 19, 2023 over 3 d |
| 2 | MML Investors Services, LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Milford, Oh +1 | Affiliated broker-dealer or bank to wirehouse | Apr 17, 2023 |
| 2 | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Cleveland, Oh +1 | Affiliated broker-dealer or bank to another | Mar 15, 2023 |
| 2 | MML Investors Services, LLC BD affiliated | Diamond Client Group, LLC independent RIA | Houston, Tx | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2023 |
| 3 | MML Investors Services, LLC BD affiliated | Allworth Financial, L.P. BD affiliated | Indianapolis, In | Affiliated broker-dealer or bank to another | Mar 3, 2023 |
| 5 | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Freehold, Nj | Affiliated broker-dealer or bank to another | Feb 27, 2023 over 2 d |
| 2 | MML Investors Services, LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Meridian, Id | Affiliated broker-dealer or bank to another | Dec 6, 2022 |
| 2 | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Hauppauge, Ny | Affiliated broker-dealer or bank to another | Nov 8, 2022 over 1 d |
| 2 | MML Investors Services, LLC BD affiliated | Jacobi Capital Management, LLC independent RIA | Newtown Square, Pa | Affiliated broker-dealer or bank to independent RIA | Sep 21, 2022 over 5 d |
| 3 | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Rochester, Mn | Affiliated broker-dealer or bank to another | Sep 12, 2022 |
| 2 | MML Investors Services, LLC BD affiliated | Pruco Securities, LLC BD affiliated | Platte City, Mo | Affiliated broker-dealer or bank to another | Aug 23, 2022 |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC independent RIA | Lansing, Mi | Affiliated broker-dealer or bank to independent RIA | Aug 10, 2022 |
| 3 | MML Investors Services, LLC BD affiliated | LPL Financial LLC independent RIA | Virginia Beach, Va | Affiliated broker-dealer or bank to independent RIA | Jul 27, 2022 |
| 2 | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Indianapolis, In +1 | Affiliated broker-dealer or bank to another | Jul 25, 2022 |
| 2 | MML Investors Services, LLC BD affiliated | Aligne Wealth Advisors Investment Management (Awaim) no RAUM | Los Angeles, Ca | Affiliated broker-dealer or bank to a newly registered adviser | Jun 16, 2022 |
| 2 | MML Investors Services, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Shelton, Ct | Other | May 18, 2022 over 2 d |
| 2 | MML Investors Services, LLC BD affiliated | Keystone Wealth Advisors, LLC state registered | Reno, Nv | Affiliated broker-dealer or bank to a state-registered adviser | Apr 29, 2022 over 3 d |
| 3 | MML Investors Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Fenton, Mi +1 | Affiliated broker-dealer or bank to another | Apr 25, 2022 over 2 d |
| 5 | MML Investors Services, LLC BD affiliated | LPL Financial LLC independent RIA | Warren, Nj +1 | Affiliated broker-dealer or bank to independent RIA | Mar 29, 2022 over 1 d |
| 6 | MML Investors Services, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | New York, Ny | Affiliated broker-dealer or bank to another | Mar 24, 2022 over 5 d |
| 2 | MML Investors Services, LLC BD affiliated | Cuso Financial Services, L.P. BD affiliated | San Francisco, Ca +1 | Affiliated broker-dealer or bank to another | Mar 4, 2022 over 4 d |
| 2 | MML Investors Services, LLC BD affiliated | Townsquare Capital, LLC mixed wealth | Scottsdale, Az | Affiliated broker-dealer or bank to independent RIA | Feb 8, 2022 |
| 3 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Melville, Ny | Affiliated broker-dealer or bank to another | Dec 31, 2021 |
| 2 | MML Investors Services, LLC BD affiliated | Lifemark Securities Corp. BD affiliated | Hauppauge, Ny +1 | Affiliated broker-dealer or bank to another | Dec 31, 2021 |
| 2 | MML Investors Services, LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Los Angeles, Ca +1 | Affiliated broker-dealer or bank to another | Dec 31, 2021 over 4 d |
| 2 | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Grand Rapids, Mi | Affiliated broker-dealer or bank to another | Dec 14, 2021 |
| 3 | MML Investors Services, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Rochester, Ny | Affiliated broker-dealer or bank to another | Dec 13, 2021 |
| 2 | MML Investors Services, LLC BD affiliated | Procyon mixed wealth | Shelton, Ct | Affiliated broker-dealer or bank to independent RIA | Dec 13, 2021 |
| 2 | MML Investors Services, LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Dec 1, 2021 |
| 4 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Chesterfield, Mo | Affiliated broker-dealer or bank to another | Nov 23, 2021 over 6 d |
| 2 | MML Investors Services, LLC BD affiliated | Maryland Financial Group, Inc. independent RIA | Hunt Valley, Md | Affiliated broker-dealer or bank to independent RIA | Nov 23, 2021 |
| 6 | MML Investors Services, LLC BD affiliated | Commonwealth Financial Network national BD | Iselin, Nj | Affiliated broker-dealer or bank to another | Nov 17, 2021 over 1 d |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | East Setauket, Ny +1 | Affiliated broker-dealer or bank to another | Nov 16, 2021 |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Burnsville, Mn | Affiliated broker-dealer or bank to another | Nov 10, 2021 |
| 4 | MML Investors Services, LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Orlando, Fl +1 | Affiliated broker-dealer or bank to another | Nov 3, 2021 |
| 3 | MML Investors Services, LLC BD affiliated | J. W. Cole Advisors, Inc. independent RIA | East Syracuse, Ny +1 | Affiliated broker-dealer or bank to independent RIA | Nov 2, 2021 over 3 d |
| 4 | MML Investors Services, LLC BD affiliated | Global Wealth Strategies And Associates, LLC no RAUM | Denver, Co | Affiliated broker-dealer or bank to a newly registered adviser | Oct 29, 2021 over 3 d |
| 2 | MML Investors Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Columbia, Sc | Affiliated broker-dealer or bank to another | Oct 21, 2021 |
267 teams match.derived from registration dates