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 Vanguard Advisers, 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 |
|---|---|---|---|---|---|
| 3 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Oct 15, 2021 over 7 d |
| 3 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Malvern, Pa | Affiliated broker-dealer or bank to another | Oct 15, 2021 over 7 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Ally Invest Advisors independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2021 over 13 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Scottsdale, Az | Other | Sep 24, 2021 over 7 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Malvern, Pa | Affiliated broker-dealer or bank to another | Sep 20, 2021 over 10 d |
| 5 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Sep 8, 2021 over 22 d |
| 3 | Vanguard Advisers, Inc. BD affiliated | Facet independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2021 over 1 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Malvern, Pa | Affiliated broker-dealer or bank to another | Aug 5, 2021 over 6 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Mar 9, 2021 over 3 d |
| 3 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Oct 13, 2020 over 21 d |
| 3 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Aug 12, 2020 over 20 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Scottsdale, Az | Other | Jun 9, 2020 over 10 d |
| 3 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Charlotte, Nc | Affiliated broker-dealer or bank to another | Feb 5, 2020 over 19 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Morgan Stanley wirehouse | Scottsdale, Az | Affiliated broker-dealer or bank to wirehouse | Nov 11, 2019 over 10 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Malvern, Pa | Affiliated broker-dealer or bank to another | Jul 25, 2019 over 7 d |
| 2 | Vanguard Advisers, Inc. BD affiliated | Facet independent RIA | Scottsdale, Az | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2019 over 2 d |
| 2 | Vanguard Advisers, Inc. other | Advice And Planning Services other | Charlotte, Nc | Other | Sep 22, 2016 over 14 d |
| 2 | Vanguard Advisers, Inc. other | Schwab Wealth Advisory, Inc. other | Scottsdale, Az | Other | Sep 15, 2016 over 6 d |
| 2 | Vanguard Advisers, Inc. other | Advice And Planning Services other | Charlotte, Nc | Other | Feb 19, 2016 |
| 2 | Vanguard Advisers, Inc. other | Edelman Financial Engines other | Scottsdale, Az | Other | Jan 28, 2016 |