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 Wells Fargo Advisors

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
2Wells Fargo Advisors wirehouseArgonautica Private Wealth Management, Inc no RAUMWellesley, MaWirehouse to a newly registered adviser (no RAUM reported yet)Jan 25, 2022
3Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedSyracuse, Ny +1Wirehouse to affiliated broker-dealer or bankJan 11, 2022
4Wells Fargo Advisors wirehouseTranscendent Capital Group no RAUMEdmond, OkWirehouse to a newly registered adviser (no RAUM reported yet)Nov 15, 2021
over 2 d
3Wells Fargo Advisors wirehouseStifel Independent Advisors, LLC BD affiliatedLandrum, ScWirehouse to affiliated broker-dealer or bankNov 10, 2021
3Wells Fargo Advisors wirehouseThe Lewis Financial Group no RAUMVienna, Va +1Wirehouse to a newly registered adviser (no RAUM reported yet)Nov 8, 2021
2Wells Fargo Advisors wirehouseKestra Advisory Services, LLC BD affiliatedTolar, TxWirehouse to affiliated broker-dealer or bankNov 8, 2021
3Wells Fargo Advisors wirehouseOptimize Financial Inc. no RAUMIrvine, CaWirehouse to a newly registered adviser (no RAUM reported yet)Oct 18, 2021
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedGermantown, Tn +1Wirehouse to affiliated broker-dealer or bankOct 11, 2021
over 7 d
4Wells Fargo Advisors wirehouseThe Pitti Group Wealth Management, LLC no RAUMVictor, NyWirehouse to a newly registered adviser (no RAUM reported yet)Oct 4, 2021
4Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedChattanooga, TnWirehouse to affiliated broker-dealer or bankSep 17, 2021
5Wells Fargo Advisors wirehouseXml Financial Group independent RIABethesda, MdWirehouse to independent RIAAug 31, 2021
over 7 d
2Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedMarysville, OhWirehouse to affiliated broker-dealer or bankAug 23, 2021
2Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAIdaho Falls, IdWirehouse to independent RIAAug 23, 2021
3Wells Fargo Advisors wirehouseAdvisory Services Network independent RIAGreenville, ScWirehouse to independent RIAAug 13, 2021
3Wells Fargo Advisors wirehousePeb Capital Management LLC no RAUMUpper Arlington, OhWirehouse to a newly registered adviser (no RAUM reported yet)Aug 6, 2021
over 4 d
3Wells Fargo Advisors wirehouse365 Wealth Management Group independent RIAMason, Oh +1Wirehouse to independent RIAJun 15, 2021
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedMansfield, TxWirehouse to affiliated broker-dealer or bankJun 7, 2021
3Wells Fargo Advisors wirehouseChb Investment Group, LLC no RAUMNew Hope, PaWirehouse to a newly registered adviser (no RAUM reported yet)Jun 3, 2021
2Wells Fargo Advisors wirehouseKestra Advisory Services, LLC BD affiliatedCleburne, TxWirehouse to affiliated broker-dealer or bankMay 19, 2021
2Wells Fargo Advisors wirehouseJmac Enterprises LLC no RAUMMiami Beach, FlWirehouse to a newly registered adviser (no RAUM reported yet)Apr 29, 2021
2Wells Fargo Advisors wirehouseJmac Enterprises LLC no RAUMNewtown, PaWirehouse to a newly registered adviser (no RAUM reported yet)Apr 29, 2021
3Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedNewport News, Va +1Wirehouse to affiliated broker-dealer or bankApr 23, 2021
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedRed Bank, Nj +1Wirehouse to affiliated broker-dealer or bankApr 23, 2021
over 13 d
2Wells Fargo Advisors wirehouseCetera Advisor Networks LLC BD affiliatedMadison, WiWirehouse to affiliated broker-dealer or bankApr 5, 2021
4Wells Fargo Advisors wirehouseSmith Thornton Advisors, LLC no RAUMHuntsville, AlWirehouse to a newly registered adviser (no RAUM reported yet)Mar 8, 2021
7Wells Fargo Advisors wirehouseCaptrust institutionalFolsom, Ca +2OtherMar 5, 2021
2Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedVineyard Haven, MaWirehouse to affiliated broker-dealer or bankFeb 26, 2021
2Wells Fargo Advisors wirehouseVirginia Wealth Management Group, Inc. no RAUMVirginia Beach, VaWirehouse to a newly registered adviser (no RAUM reported yet)Feb 12, 2021
9Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedMarietta, Oh +1Wirehouse to affiliated broker-dealer or bankFeb 5, 2021
over 3 d
3Wells Fargo Advisors wirehouseAmeriprise Financial Services, LLC national BDDublin, OhWirehouse to affiliated broker-dealer or bankJan 21, 2021
3Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedLong Beach, CaWirehouse to affiliated broker-dealer or bankJan 21, 2021
2Wells Fargo Advisors wirehouseCambridge Investment Research Advisors, Inc. BD affiliatedOna, WvWirehouse to affiliated broker-dealer or bankDec 31, 2020
2Wells Fargo Advisors wirehouseAfg Fiduciary Services no RAUMHingham, MaWirehouse to a newly registered adviser (no RAUM reported yet)Dec 17, 2020
2Wells Fargo Advisors wirehouseOsaic Advisory Services, LLC BD affiliatedSouthlake, TxWirehouse to affiliated broker-dealer or bankNov 19, 2020
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedHonolulu, HiWirehouse to affiliated broker-dealer or bankNov 19, 2020
2Wells Fargo Advisors wirehouseMayflower Advisors independent RIAWestborough, Ma +1Wirehouse to independent RIAOct 23, 2020
2Wells Fargo Advisors wirehouseB Riley Wealth Management BD affiliatedSan Francisco, CaWirehouse to affiliated broker-dealer or bankOct 13, 2020
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedCumming, GaWirehouse to affiliated broker-dealer or bankOct 13, 2020
6Wells Fargo Advisors wirehouseWaterfront Wealth Inc. independent RIALeawood, KsWirehouse to independent RIAOct 5, 2020
2Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedJoliet, IlWirehouse to affiliated broker-dealer or bankOct 5, 2020
2Wells Fargo Advisors wirehouseOsaic Fs, Inc. BD affiliatedIronton, OhWirehouse to affiliated broker-dealer or bankOct 5, 2020
4Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedTigard, OrWirehouse to affiliated broker-dealer or bankSep 29, 2020
3Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIAScottsdale, Az +1Wirehouse to independent RIASep 17, 2020
over 4 d
2Wells Fargo Advisors wirehouseCommonwealth Financial Network national BDPortland, OrWirehouse to affiliated broker-dealer or bankSep 2, 2020
3Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedScottsdale, AzWirehouse to affiliated broker-dealer or bankAug 17, 2020
2Wells Fargo Advisors wirehouseCambridge Investment Research Advisors, Inc. BD affiliatedLongmont, CoWirehouse to affiliated broker-dealer or bankAug 14, 2020
2Wells Fargo Advisors wirehouseB Riley Wealth Management BD affiliatedIrvine, CaWirehouse to affiliated broker-dealer or bankAug 10, 2020
9Wells Fargo Advisors wirehouseMayflower Advisors independent RIABoston, Ma +1Wirehouse to independent RIAAug 7, 2020
over 17 d
2Wells Fargo Advisors wirehouseCapital Advisors Wealth Management no RAUMYakima, WaWirehouse to a newly registered adviser (no RAUM reported yet)Aug 4, 2020
4Wells Fargo Advisors wirehouseRaymond James Financial Services Advisors, Inc BD affiliatedSalt Lake City, UtWirehouse to affiliated broker-dealer or bankJul 30, 2020
5Wells Fargo Advisors wirehouseAscend Investment Partners no RAUMOgden, Ut +1Wirehouse to a newly registered adviser (no RAUM reported yet)Jul 27, 2020
8Wells Fargo Advisors wirehouseMayflower Advisors no RAUMBoston, MaWirehouse to a newly registered adviser (no RAUM reported yet)Jul 21, 2020
3Wells Fargo Advisors wirehouseNations Financial Group, Inc. independent RIALittleton, Co +1Wirehouse to independent RIAJul 17, 2020
over 3 d
2Wells Fargo Advisors wirehouseBr Wealth Management no RAUMBoise, IdWirehouse to a newly registered adviser (no RAUM reported yet)Jul 2, 2020
2Wells Fargo Advisors wirehouseApollon Financial, LLC no RAUMCrownsville, MdWirehouse to a newly registered adviser (no RAUM reported yet)Jun 26, 2020
2Wells Fargo Advisors wirehouseCetera Investment Advisers LLC BD affiliatedSalisbury, MdWirehouse to affiliated broker-dealer or bankJun 15, 2020
3Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedSt Johnsbury, VtWirehouse to affiliated broker-dealer or bankJun 8, 2020
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedPueblo, CoWirehouse to affiliated broker-dealer or bankMay 19, 2020
2Wells Fargo Advisors wirehouseFinancial Advocates Investment Management independent RIAIssaquah, WaWirehouse to independent RIAApr 24, 2020
2Wells Fargo Advisors wirehouseLPL Financial LLC BD affiliatedBuffalo, NyWirehouse to affiliated broker-dealer or bankFeb 19, 2020
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300 teams match.derived from registration dates