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 Avantax Advisory Services

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.

AdvisorsFromToBranchTypeLeft
2Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedIrving, TxAffiliated broker-dealer or bank to anotherJan 15, 2021
2Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedNaperville, IlAffiliated broker-dealer or bank to anotherDec 22, 2020
2Avantax Advisory Services BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedNewberry, ScAffiliated broker-dealer or bank to anotherDec 17, 2020
6Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedIrving, TxAffiliated broker-dealer or bank to anotherDec 8, 2020
over 23 d
3Avantax Advisory Services BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedMarietta, GaAffiliated broker-dealer or bank to anotherDec 8, 2020
2Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedColorado Spring, Co +1Affiliated broker-dealer or bank to anotherDec 1, 2020
2Avantax Advisory Services BD affiliatedCetera Investment Advisers LLC BD affiliatedOlean, NyAffiliated broker-dealer or bank to anotherNov 4, 2020
over 2 d
2Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedOmaha, NeAffiliated broker-dealer or bank to anotherOct 7, 2020
5Avantax Advisory Services BD affiliatedWealthcare Advisory Partners LLC independent RIAIrving, TxAffiliated broker-dealer or bank to independent RIASep 15, 2020
over 2 d
2Avantax Advisory Services BD affiliatedDynamic independent RIARexburg, IdAffiliated broker-dealer or bank to independent RIASep 8, 2020
over 1 d
2Avantax Advisory Services BD affiliatedCetera Investment Advisers LLC BD affiliatedIrving, TxAffiliated broker-dealer or bank to anotherAug 13, 2020
2Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedGreenfield, InAffiliated broker-dealer or bank to anotherJul 15, 2020
5Avantax Advisory Services BD affiliatedAdamsbrown Wealth Consultants LLC no RAUMHays, Ks +2Affiliated broker-dealer or bank to a newly registered adviserJun 25, 2020
2Avantax Advisory Services BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedMogadore, Oh +1Affiliated broker-dealer or bank to anotherMay 29, 2020
2Avantax Advisory Services BD affiliatedCommonwealth Financial Network national BDParker, CoAffiliated broker-dealer or bank to anotherMay 18, 2020
4Avantax Advisory Services BD affiliatedMsp Wealth Management, LLC no RAUMIrving, TxAffiliated broker-dealer or bank to a newly registered adviserApr 1, 2020
2Avantax Advisory Services BD affiliatedLPL Financial LLC BD affiliatedFrisco, NcAffiliated broker-dealer or bank to anotherMar 31, 2020
2Avantax Advisory Services BD affiliatedAmeriprise Financial Services, LLC national BDIrving, TxAffiliated broker-dealer or bank to anotherMar 9, 2020
2Avantax Advisory Services BD affiliatedCambridge Investment Research Advisors, Inc. BD affiliatedDallas, TxAffiliated broker-dealer or bank to anotherJan 10, 2020
over 14 d
2Avantax Advisory Services BD affiliatedKestra Advisory Services, LLC BD affiliatedIrving, TxAffiliated broker-dealer or bank to anotherJan 2, 2020
over 11 d
2Avantax Advisory Services BD affiliatedCharles Schwab & Co., Inc. national BDIrving, Tx +1Affiliated broker-dealer or bank to anotherDec 9, 2019
over 1 d
2Avantax Advisory Services BD affiliatedCommonwealth Financial Network national BDDenver, CoAffiliated broker-dealer or bank to anotherNov 20, 2019
2Avantax Advisory Services BD affiliatedLPL Financial LLC independent RIADallas, Tx +1Affiliated broker-dealer or bank to independent RIAJun 28, 2019
2Avantax Advisory Services BD affiliatedGwn Securities Inc. BD affiliatedWellington, Fl +1Affiliated broker-dealer or bank to anotherMar 1, 2019
2Avantax Advisory Services BD affiliatedCommonwealth Financial Network national BDArlington, Tx +1Affiliated broker-dealer or bank to anotherMay 1, 2018
2Avantax Advisory Services BD affiliatedIc Advisory Services, Inc. BD affiliatedNewton, NjAffiliated broker-dealer or bank to anotherApr 3, 2018
3Avantax Advisory Services otherInvest Financial Corporation otherAlbany, Ga +1OtherJun 3, 2016
3Avantax Advisory Services otherAdvisory Services Network otherMount Holly, Nc +1OtherJun 4, 2015
4Avantax Advisory Services otherAmeriprise Financial Services, LLC national BDConcord, NhOtherMay 29, 2015
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89 teams match.derived from registration dates