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.
Teams that left Avantax Planning Partners, Inc.
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 | Avantax Planning Partners, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Apr 6, 2026 over 1 d |
| 4 | Avantax Planning Partners, Inc. BD affiliated | Mariner Wealth no RAUM | Kennesaw, Ga +2 | Other | Aug 20, 2024 over 16 d |
| 4 | Avantax Planning Partners, Inc. BD affiliated | Brady Martz Wealth Solutions, LLC no RAUM | Grand Forks, Nd +2 | Affiliated broker-dealer or bank to a newly registered adviser | Jul 13, 2024 over 4 d |
| 2 | Avantax Planning Partners, Inc. BD affiliated | Friday Financial no RAUM | Dubuque, Ia | Affiliated broker-dealer or bank to a newly registered adviser | Jun 15, 2023 over 12 d |
| 3 | Avantax Planning Partners, Inc. independent RIA | Mariner Wealth no RAUM | Overland Park, Ks | Other | Dec 22, 2021 over 9 d |
| 2 | Avantax Planning Partners, Inc. independent RIA | Mariner Wealth no RAUM | Waterloo, Ia +1 | Other | Dec 1, 2020 |
| 4 | Avantax Planning Partners, Inc. other | Mariner Wealth no RAUM | Omaha, Ne | Other | Oct 24, 2017 |
| 2 | Avantax Planning Partners, Inc. other | Mariner Wealth Advisors other | Omaha, Ne | Other | Oct 13, 2017 |