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	LPL Financial LLC BD affiliated	San Diego, Ca	Affiliated broker-dealer or bank to another	Oct 10, 2019
2	MML Investors Services, LLC BD affiliated	Stonex Advisors Inc. BD affiliated	Franklin, Tn	Affiliated broker-dealer or bank to another	Oct 3, 2019
2	MML Investors Services, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Bedford, Nh	Affiliated broker-dealer or bank to another	Sep 30, 2019 over 2 d
2	MML Investors Services, LLC BD affiliated	Wellington Wealth Strategies, LLC independent RIA	Indianapolis, In	Affiliated broker-dealer or bank to independent RIA	Sep 13, 2019 over 3 d
3	MML Investors Services, LLC BD affiliated	LPL Financial LLC BD affiliated	Glen Allen, Va	Affiliated broker-dealer or bank to another	Aug 21, 2019 over 1 d
4	MML Investors Services, LLC BD affiliated	LPL Financial LLC independent RIA	Lehi, Ut +1	Affiliated broker-dealer or bank to independent RIA	Jul 31, 2019
3	MML Investors Services, LLC BD affiliated	Fortis Group Advisors LLC independent RIA	Edison, Nj	Affiliated broker-dealer or bank to independent RIA	Jul 24, 2019 over 9 d
4	MML Investors Services, LLC BD affiliated	LPL Financial LLC independent RIA	Rockville, Md	Affiliated broker-dealer or bank to independent RIA	Jul 18, 2019 over 4 d
4	MML Investors Services, LLC BD affiliated	Cleveland Wealth, LLC independent RIA	Cleveland, Oh	Affiliated broker-dealer or bank to independent RIA	May 1, 2019
2	MML Investors Services, LLC BD affiliated	Esi Financial Advisors BD affiliated	Tarrytown, Ny +1	Affiliated broker-dealer or bank to another	Apr 2, 2019
2	MML Investors Services, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Spotswood, Nj	Affiliated broker-dealer or bank to another	Mar 25, 2019
2	MML Investors Services, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Garden City, Ny	Affiliated broker-dealer or bank to another	Mar 25, 2019
2	MML Investors Services, LLC BD affiliated	M Holdings Securities, Inc. BD affiliated	Warren, Nj	Affiliated broker-dealer or bank to another	Feb 25, 2019
2	MML Investors Services, LLC BD affiliated	Maia Wealth independent RIA	Denver, Co	Affiliated broker-dealer or bank to independent RIA	Feb 11, 2019 over 3 d
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Bellevue, Wa	Affiliated broker-dealer or bank to another	Feb 7, 2019
2	MML Investors Services, LLC BD affiliated	Pruco Securities, LLC BD affiliated	Bay City, Mi	Affiliated broker-dealer or bank to another	Feb 1, 2019 over 11 d
6	MML Investors Services, LLC BD affiliated	Osaic Wealth, Inc. BD affiliated	Honolulu, Hi	Affiliated broker-dealer or bank to another	Jan 23, 2019 over 21 d
3	MML Investors Services, LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Chesterfield, Mo	Affiliated broker-dealer or bank to another	Dec 13, 2018
7	MML Investors Services, LLC BD affiliated	Park Avenue Securities LLC BD affiliated	Santa Monica, Ca +1	Affiliated broker-dealer or bank to another	Nov 30, 2018 over 19 d
2	MML Investors Services, LLC BD affiliated	Woodbury Financial Services, Inc. BD affiliated	Ashland, Ky	Affiliated broker-dealer or bank to another	Nov 7, 2018
2	MML Investors Services, LLC BD affiliated	Kms Financial Services, Inc BD affiliated	Seattle, Wa	Affiliated broker-dealer or bank to another	Oct 17, 2018
2	MML Investors Services, LLC BD affiliated	Principal Securities, Inc. BD affiliated	Charleston, Sc	Affiliated broker-dealer or bank to another	Oct 16, 2018
2	MML Investors Services, LLC BD affiliated	Creativeone Wealth, LLC independent RIA	Overland Park, Ks	Affiliated broker-dealer or bank to independent RIA	Sep 27, 2018
2	MML Investors Services, LLC BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Hunt Valley, Md	Affiliated broker-dealer or bank to another	Sep 5, 2018
2	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Palm Coast, Fl	Affiliated broker-dealer or bank to another	Aug 23, 2018
2	MML Investors Services, LLC BD affiliated	Cetera Investment Advisers LLC BD affiliated	Plymouth, Mn	Affiliated broker-dealer or bank to another	Aug 22, 2018
3	MML Investors Services, LLC BD affiliated	Gwn Securities Inc. BD affiliated	Wall Township, Nj	Affiliated broker-dealer or bank to another	Aug 21, 2018 over 2 d
2	MML Investors Services, LLC BD affiliated	Bsg Advisers independent RIA	Raleigh, Nc	Affiliated broker-dealer or bank to independent RIA	Aug 17, 2018
2	MML Investors Services, LLC BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Florence, Ma	Affiliated broker-dealer or bank to another	Aug 8, 2018
8	MML Investors Services, LLC BD affiliated	Commonwealth Financial Network national BD	Roanoke, Va	Affiliated broker-dealer or bank to another	Aug 2, 2018 over 11 d
2	MML Investors Services, LLC BD affiliated	Independent Financial Group, LLC BD affiliated	Tempe, Az	Affiliated broker-dealer or bank to another	Jul 26, 2018
2	MML Investors Services, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Montclair, Nj	Affiliated broker-dealer or bank to another	Jun 20, 2018
2	MML Investors Services, LLC BD affiliated	Securities America Advisors, Inc. BD affiliated	Leawood, Ks +1	Affiliated broker-dealer or bank to another	Jun 11, 2018
2	MML Investors Services, LLC BD affiliated	White Mcgowan state registered	Little Rock, Ar	Affiliated broker-dealer or bank to a state-registered adviser	Jun 7, 2018 over 5 d
2	MML Investors Services, LLC BD affiliated	Sagepoint Financial, Inc. BD affiliated	Wausau, Wi	Affiliated broker-dealer or bank to another	Jun 5, 2018
3	MML Investors Services, LLC BD affiliated	Osaic Fs, Inc. BD affiliated	San Antonio, Tx	Affiliated broker-dealer or bank to another	May 30, 2018
2	MML Investors Services, LLC BD affiliated	Ameriprise Financial Services, LLC national BD	Salt Lake City, Ut +1	Affiliated broker-dealer or bank to another	May 30, 2018
4	MML Investors Services, LLC BD affiliated	Securian Financial Services, Inc. BD affiliated	Florence, Al +1	Affiliated broker-dealer or bank to another	May 10, 2018 over 7 d
3	MML Investors Services, LLC BD affiliated	LPL Financial LLC independent RIA	Charlotte, Nc	Affiliated broker-dealer or bank to independent RIA	May 8, 2018
2	MML Investors Services, LLC BD affiliated	Morgan Stanley wirehouse	Atlanta, Ga	Affiliated broker-dealer or bank to wirehouse	Apr 13, 2018 over 13 d
2	MML Investors Services, LLC other	Maia Wealth independent RIA	Denver, Co	Other	Feb 28, 2018 over 2 d
2	MML Investors Services, LLC other	Sagepoint Financial, Inc. BD affiliated	Lewiston, Me +1	Other	Feb 26, 2018
3	MML Investors Services, LLC other	Oneamerica Securities, Inc. other	Gilbert, Az +1	Other	Feb 21, 2018
2	MML Investors Services, LLC other	Securian Financial Services, Inc. other	Richmond, Va	Other	Feb 16, 2018
3	MML Investors Services, LLC other	Integrated Wealth Concepts LLC other	Worcester, Ma	Other	Feb 5, 2018
2	MML Investors Services, LLC other	Cadaret Grant & Co Inc other	Guilford, Ct +1	Other	Jan 31, 2018 over 6 d
2	MML Investors Services, LLC other	Raymond James Financial Services Advisors, Inc BD affiliated	Fairfield, Nj	Other	Jan 31, 2018
2	MML Investors Services, LLC other	Pruco Securities, LLC BD affiliated	Southfield, Mi	Other	Jan 31, 2018 over 9 d
9	MML Investors Services, LLC other	Sagepoint Financial, Inc. BD affiliated	Wauwatosa, Wi +1	Other	Jan 19, 2018 over 27 d
2	MML Investors Services, LLC other	Principal Securities, Inc. other	West Des Moines, Ia	Other	Jan 19, 2018
2	MML Investors Services, LLC other	Oxford Financial Partners other	Cincinnati, Oh	Other	Jan 16, 2018
2	MML Investors Services, LLC other	Code Waechter LLC independent RIA	Tampa, Fl	Other	Jan 5, 2018
2	MML Investors Services, LLC other	Great Valley Advisor Group, LLC other	Wauwatosa, Wi	Other	Dec 19, 2017
2	MML Investors Services, LLC other	Pruco Securities, LLC BD affiliated	Delmont, Pa	Other	Nov 28, 2017 over 9 d
2	MML Investors Services, LLC other	Private Advisor Group, LLC other	Huntsville, Al	Other	Nov 22, 2017
3	MML Investors Services, LLC other	Signator Investors, Inc. other	Allentown, Pa	Other	Nov 13, 2017 over 1 d
2	MML Investors Services, LLC other	Osaic Fa, Inc. other	Medina, Oh	Other	Nov 13, 2017 over 1 d
2	MML Investors Services, LLC other	Private Advisor Group, LLC other	Chicago, Il	Other	Nov 10, 2017 over 3 d
5	MML Investors Services, LLC other	Sagepoint Financial, Inc. BD affiliated	Wauwatosa, Wi	Other	Nov 3, 2017 over 13 d
6	MML Investors Services, LLC other	Ameriprise Financial Services, LLC national BD	Glastonbury, Ct +2	Other	Oct 27, 2017 over 14 d

Page 4 of 5Previous Next

267 teams match.derived from registration dates