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.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Wells Fargo Advisors wirehouse | Chipser Wealth Management, LLC no RAUM | Destin, Fl | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 29, 2020 |
| 2 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Honesdale, Pa | Wirehouse to affiliated broker-dealer or bank | Jan 13, 2020 |
| 2 | Wells Fargo Advisors wirehouse | 1858 Wealth Management, LLC no RAUM | Akron, Oh | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 9, 2020 |
| 3 | Wells Fargo Advisors wirehouse | Fourthought Private Wealth no RAUM | Venice, Fl | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jan 7, 2020 over 2 d |
| 4 | Wells Fargo Advisors wirehouse | Rw Investment Management LLC independent RIA | Boise, Id | Wirehouse to independent RIA | Jan 6, 2020 |
| 2 | Wells Fargo Advisors wirehouse | Morgan Stanley wirehouse | Coral Springs, Fl | Wirehouse to wirehouse | Dec 9, 2019 over 14 d |
| 4 | Wells Fargo Advisors wirehouse | Commonwealth Financial Network national BD | Englewood, Fl +1 | Wirehouse to affiliated broker-dealer or bank | Dec 4, 2019 |
| 2 | Wells Fargo Advisors wirehouse | Ameriprise Financial Services, LLC national BD | Bakersfield, Ca | Wirehouse to affiliated broker-dealer or bank | Dec 4, 2019 |
| 3 | Wells Fargo Advisors wirehouse | Commonwealth Financial Network national BD | Syracuse, Ny | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2019 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Lenox, Ma | Wirehouse to affiliated broker-dealer or bank | Oct 21, 2019 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Greenville, Nc | Wirehouse to affiliated broker-dealer or bank | Sep 23, 2019 |
| 2 | Wells Fargo Advisors wirehouse | LPL Financial LLC BD affiliated | La Mesa, Ca +1 | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2019 |
| 5 | Wells Fargo Advisors wirehouse | Nations Financial Group, Inc. independent RIA | Wayne, Pa | Wirehouse to independent RIA | Sep 6, 2019 over 5 d |
| 2 | Wells Fargo Advisors wirehouse | Prospera Financial Services, Inc. independent RIA | Crystal Lake, Il | Wirehouse to independent RIA | Aug 20, 2019 |
| 2 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Columbus, In | Wirehouse to affiliated broker-dealer or bank | Aug 20, 2019 |
| 2 | Wells Fargo Advisors wirehouse | Unionview Wealth Partners no RAUM | Seattle, Wa | Wirehouse to a newly registered adviser (no RAUM reported yet) | Aug 5, 2019 over 1 d |
| 2 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Geneseo, Il +1 | Wirehouse to independent RIA | Jul 29, 2019 over 8 d |
| 2 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Camden, Sc | Wirehouse to independent RIA | Jul 25, 2019 |
| 3 | Wells Fargo Advisors wirehouse | Summit Financial Group Inc BD affiliated | Oakhurst, Nj | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2019 |
| 5 | Wells Fargo Advisors wirehouse | Heartwood Wealth Advisors, LLC no RAUM | Richmond, Va | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 5, 2019 over 1 d |
| 3 | Wells Fargo Advisors wirehouse | Gould Capital, LLC no RAUM | Tacoma, Wa | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 24, 2019 |
| 2 | Wells Fargo Advisors wirehouse | Commonwealth Financial Network national BD | Gig Harbor, Wa | Wirehouse to affiliated broker-dealer or bank | Apr 24, 2019 |
| 2 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Boulder, Co | Wirehouse to affiliated broker-dealer or bank | Apr 18, 2019 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Fort Wayne, In +1 | Wirehouse to affiliated broker-dealer or bank | Apr 9, 2019 |
| 2 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Missoula, Mt | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2019 |
| 3 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Charleston, Sc | Wirehouse to independent RIA | Jan 14, 2019 |
| 2 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Pawleys Island, Sc | Wirehouse to independent RIA | Dec 26, 2018 |
| 2 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Long Beach, Ca | Wirehouse to independent RIA | Nov 30, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Landsberg Bennett Private Wealth Management independent RIA | Sarasota, Fl +1 | Wirehouse to independent RIA | Nov 13, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Tcg Wealth Management independent RIA | Nashua, Nh | Wirehouse to independent RIA | Nov 6, 2018 |
| 7 | Wells Fargo Advisors wirehouse | Osaic Advisory Services, LLC independent RIA | Wormleysburg, Pa | Wirehouse to independent RIA | Nov 5, 2018 over 4 d |
| 2 | Wells Fargo Advisors wirehouse | Arkfeld Wealth Strategies, L.L.C. no RAUM | Omaha, Ne | Wirehouse to a newly registered adviser (no RAUM reported yet) | Oct 29, 2018 over 7 d |
| 4 | Wells Fargo Advisors wirehouse | Realta Investment Advisors, Inc independent RIA | Fairfield, Nj | Wirehouse to independent RIA | Oct 15, 2018 |
| 4 | Wells Fargo Advisors wirehouse | Key Client Fiduciary Advisors, LLC no RAUM | Fairfield, Nj | Wirehouse to a newly registered adviser (no RAUM reported yet) | Oct 15, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Lantz Financial LLC no RAUM | Naperville, Il | Wirehouse to a newly registered adviser (no RAUM reported yet) | Oct 15, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Sandbox Financial Partners, LLC no RAUM | Bethesda, Md | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 17, 2018 |
| 2 | Wells Fargo Advisors wirehouse | United Planners' Financial Services Of America A Limited Partner independent RIA | Monroeville, Pa | Wirehouse to independent RIA | Sep 17, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Mcguire Wealth Management no RAUM | Charlestown, Ri | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 17, 2018 |
| 4 | Wells Fargo Advisors wirehouse | Landsberg Bennett Private Wealth Management no RAUM | Punta Gorda, Fl +1 | Wirehouse to a newly registered adviser (no RAUM reported yet) | Aug 28, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Corvallis, Or | Wirehouse to affiliated broker-dealer or bank | Aug 28, 2018 over 2 d |
| 3 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Lodi, Ca | Wirehouse to independent RIA | Aug 28, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Chattanooga, Tn | Wirehouse to affiliated broker-dealer or bank | Aug 17, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Canton, Ga +1 | Wirehouse to affiliated broker-dealer or bank | Jul 25, 2018 over 13 d |
| 2 | Wells Fargo Advisors wirehouse | LPL Financial LLC independent RIA | Mobile, Al | Wirehouse to independent RIA | Jul 17, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Cws Financial Advisors LLC no RAUM | Kalamazoo, Mi | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 19, 2018 |
| 5 | Wells Fargo Advisors wirehouse | Linden Thomas Advisory Services, LLC no RAUM | Charlotte, Nc | Other | Jun 15, 2018 over 5 d |
| 3 | Wells Fargo Advisors wirehouse | Criterion Capital Advisors LLC no RAUM | Nashville, Tn | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 1, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Greenwood Village, Co | Wirehouse to affiliated broker-dealer or bank | May 29, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Commonwealth Financial Network national BD | Womelsdorf, Pa | Wirehouse to affiliated broker-dealer or bank | May 24, 2018 |
| 4 | Wells Fargo Advisors wirehouse | Traverso Chambers Private Wealth Management, LLC no RAUM | Santa Rosa, Ca | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 21, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Cmc Financial Group, LLC no RAUM | Atlanta, Ga | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 9, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Mc Connellsburg, Pa | Wirehouse to affiliated broker-dealer or bank | May 7, 2018 |
| 8 | Wells Fargo Advisors wirehouse | Nachman Norwood & Parrott, Inc. no RAUM | Greenville, Sc | Wirehouse to a newly registered adviser (no RAUM reported yet) | May 1, 2018 over 1 d |
| 6 | Wells Fargo Advisors wirehouse | Keudell Morrison Wealth Management, LLC no RAUM | Salem, Or | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 20, 2018 |
| 6 | Wells Fargo Advisors wirehouse | Salomon And Ludwin independent RIA | Richmond, Va | Wirehouse to independent RIA | Apr 4, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Big Investment Services no RAUM | Dover, De | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 4, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Independent Advisor Alliance, LLC independent RIA | Hilton Head Island, Sc | Wirehouse to independent RIA | Apr 4, 2018 |
| 2 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wichita, Ks | Wirehouse to affiliated broker-dealer or bank | Mar 21, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Bay Rivers Group Wealth Partners no RAUM | Williamsburg, Va | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 7, 2018 |
| 3 | Wells Fargo Advisors wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | York, Pa | Wirehouse to affiliated broker-dealer or bank | Jan 29, 2018 |
300 teams match.derived from registration dates