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 other	Quest Capital Strategies, Inc. other	Peachtree Corners, Ga	Other	Sep 26, 2017 over 9 d
2	MML Investors Services, LLC other	Financial Partners Group, Inc. no RAUM	Overland Park, Ks	Other	Sep 19, 2017
3	MML Investors Services, LLC other	Raymond James Financial Services Advisors, Inc other	Madison, Wi	Other	Sep 13, 2017 over 2 d
2	MML Investors Services, LLC other	Woodbury Financial Services, Inc. other	Lisle, Il	Other	Aug 17, 2017 over 1 d
2	MML Investors Services, LLC other	Esi Financial Advisors other	De Pere, Wi	Other	Aug 10, 2017
2	MML Investors Services, LLC other	Esi Financial Advisors other	Iselin, Nj +1	Other	Aug 9, 2017 over 6 d
4	MML Investors Services, LLC other	Cambridge Investment Research Advisors, Inc. other	Louisville, Ky	Other	Jul 27, 2017
2	MML Investors Services, LLC other	Ameriprise Financial Services, LLC national BD	Scottsdale, Az	Other	Jul 24, 2017
3	MML Investors Services, LLC other	Securian Financial Services, Inc. other	Roseland, Nj	Other	Jul 19, 2017 over 1 d
3	MML Investors Services, LLC other	Lifeworks Advisors, LLC independent RIA	Grand Rapids, Mi	Other	Jul 13, 2017 over 1 d
3	MML Investors Services, LLC other	Osaic Fa, Inc. other	San Ramon, Ca	Other	Jun 9, 2017 over 4 d
2	MML Investors Services, LLC other	Horace Mann Investors, Inc. no RAUM	Wauwatosa, Wi	Other	Jun 1, 2017
2	MML Investors Services, LLC other	Centaurus Financial, Inc. other	Conshohocken, Pa	Other	Apr 6, 2017
2	MML Investors Services, LLC other	Global Retirement Partners LLC other	Indianapolis, In	Other	Mar 1, 2017
3	MML Investors Services, LLC other	The Wealth Consulting Group other	Westlake Village, Ca +1	Other	Jan 25, 2017 over 1 d
9	MML Investors Services, LLC other	The Wealth Consulting Group other	New Castle, Pa	Other	Dec 19, 2016
2	MML Investors Services, LLC other	Advanced Portfolio Strategies independent RIA	Los Angeles, Ca +1	Other	Nov 10, 2016
2	MML Investors Services, LLC other	Cambridge Investment Research Advisors, Inc. other	Brentwood, Tn	Other	Oct 28, 2016 over 11 d
2	MML Investors Services, LLC other	Commonwealth Financial Network national BD	Hunt Valley, Md	Other	Oct 28, 2016
2	MML Investors Services, LLC other	Signator Investors, Inc. other	Honolulu, Hi	Other	Oct 10, 2016
2	MML Investors Services, LLC other	Cambridge Investment Research Advisors, Inc. other	Reno, Nv	Other	Apr 28, 2016
2	MML Investors Services, LLC other	Trek Financial other	Lehi, Ut +1	Other	Mar 9, 2016 over 1 d
2	MML Investors Services, LLC other	Securities America Advisors, Inc. other	Charlotte, Nc	Other	Feb 18, 2016
2	MML Investors Services, LLC other	Pruco Securities, LLC other	Toledo, Oh +1	Other	Jun 26, 2015 over 5 d
2	MML Investors Services, LLC other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pleasanton, Ca +1	Other	Apr 7, 2015 over 13 d
2	MML Investors Services, LLC other	Pruco Securities, LLC other	Westlake Village, Ca +1	Other	Feb 4, 2015 over 2 d
2	MML Investors Services, LLC other	Ameriprise Financial Services, LLC national BD	Pleasanton, Ca	Other	Jan 2, 2015

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267 teams match.derived from registration dates