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	Summit Financial Group Inc other	Silverdale, Wa	Other	Dec 6, 2017
4	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Hannibal, Mo +1	Other	Dec 4, 2017
2	Wells Fargo Advisors wirehouse	LPL Financial LLC other	Portland, Or	Other	Nov 3, 2017
4	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Sanford, Nc	Other	Oct 25, 2017
3	Wells Fargo Advisors wirehouse	Ameriprise Financial Services, LLC national BD	Edinboro, Pa	Wirehouse to affiliated broker-dealer or bank	Oct 24, 2017
3	Wells Fargo Advisors wirehouse	Monon Wealth Management independent RIA	Carmel, In	Wirehouse to independent RIA	Oct 2, 2017
2	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Greenwood Village, Co +1	Other	Oct 2, 2017
2	Wells Fargo Advisors wirehouse	Newedge Advisors other	High Point, Nc	Other	Sep 25, 2017
2	Wells Fargo Advisors wirehouse	LPL Financial LLC other	Amarillo, Tx	Other	Aug 29, 2017
4	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Las Vegas, Nv	Other	Aug 7, 2017
2	Wells Fargo Advisors wirehouse	Captrust Advisors, LLC other	Tampa, Fl +1	Other	Aug 7, 2017 over 1 d
2	Wells Fargo Advisors wirehouse	Budd, Melone & Co. LLC no RAUM	Auburn Hills, Mi	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 20, 2017
9	Wells Fargo Advisors wirehouse	Captrust Advisors, LLC other	Tampa, Fl	Other	Jun 12, 2017 over 25 d
2	Wells Fargo Advisors wirehouse	Captrust other	Tampa, Fl	Other	Jun 12, 2017 over 2 d
5	Wells Fargo Advisors wirehouse	Ameriprise Financial Services, LLC national BD	Lafayette, In +2	Wirehouse to affiliated broker-dealer or bank	Jun 6, 2017 over 1 d
2	Wells Fargo Advisors wirehouse	Ameriprise Financial Services, LLC national BD	Lansing, Mi	Wirehouse to affiliated broker-dealer or bank	Jun 6, 2017 over 1 d
4	Wells Fargo Advisors wirehouse	Oak Asset Management, LLC no RAUM	Westlake Village, Ca	Wirehouse to a newly registered adviser (no RAUM reported yet)	May 9, 2017
3	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Charlotte, Nc	Other	May 9, 2017
3	Wells Fargo Advisors wirehouse	Hightower Advisors, LLC other	Bloomfield Hills, Mi	Other	May 2, 2017
2	Wells Fargo Advisors wirehouse	Prism Advisors, Inc. no RAUM	Studio City, Ca	Wirehouse to a newly registered adviser (no RAUM reported yet)	May 2, 2017
3	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Wichita, Ks	Other	Apr 25, 2017
3	Wells Fargo Advisors wirehouse	Plan A Wealth, LLC no RAUM	Lincoln, Ne	Wirehouse to a newly registered adviser (no RAUM reported yet)	Apr 24, 2017
3	Wells Fargo Advisors wirehouse	Hightower Advisors, LLC other	Williamsville, Ny	Other	Apr 18, 2017
3	Wells Fargo Advisors wirehouse	Robbins Farley LLC independent RIA	Manchester, Nh	Wirehouse to independent RIA	Apr 3, 2017
2	Wells Fargo Advisors wirehouse	Invest Capital Partners no RAUM	Miamisburg, Oh	Wirehouse to a newly registered adviser (no RAUM reported yet)	Apr 3, 2017
2	Wells Fargo Advisors wirehouse	Hayden Royal other	Roseville, Ca	Other	Mar 24, 2017
3	Wells Fargo Advisors wirehouse	Capstone Wealth Advisors, LLC no RAUM	Salem, Or	Wirehouse to a newly registered adviser (no RAUM reported yet)	Mar 14, 2017
4	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	York, Pa	Other	Mar 2, 2017
2	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Liberty, Mo	Other	Feb 16, 2017
2	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Charlotte, Nc	Other	Jan 30, 2017
3	Wells Fargo Advisors wirehouse	Hayden Royal other	Coral Springs, Fl	Other	Jan 18, 2017
3	Wells Fargo Advisors wirehouse	Cambridge Investment Research Advisors, Inc. other	Montoursville, Pa	Other	Oct 25, 2016
2	Wells Fargo Advisors wirehouse	LPL Financial LLC other	Paso Robles, Ca	Other	Sep 29, 2016
3	Wells Fargo Advisors wirehouse	Eudaimonia Partners, LLC no RAUM	Suwanee, Ga +1	Wirehouse to a newly registered adviser (no RAUM reported yet)	Sep 14, 2016
3	Wells Fargo Advisors wirehouse	Wellington Investment Advisors independent RIA	Bloomington, In +1	Wirehouse to independent RIA	Sep 2, 2016
8	Wells Fargo Advisors wirehouse	Gyl Financial Synergies, LLC no RAUM	West Hartford, Ct	Wirehouse to a newly registered adviser (no RAUM reported yet)	Aug 2, 2016
2	Wells Fargo Advisors wirehouse	Bernard & Johnson Family Wealth Management no RAUM	Pasadena, Ca	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jul 5, 2016
2	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Brea, Ca	Other	Jun 23, 2016
5	Wells Fargo Advisors wirehouse	Arlington Financial Advisors, LLC no RAUM	Santa Barbara, Ca	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 21, 2016
2	Wells Fargo Advisors wirehouse	Hurlow Wealth Management Group, Inc. no RAUM	Indianapolis, In	Wirehouse to a newly registered adviser (no RAUM reported yet)	May 3, 2016
4	Wells Fargo Advisors wirehouse	Orion Investment Advisors, LLC other	Mclean, Va	Other	Mar 1, 2016
2	Wells Fargo Advisors wirehouse	Access Wealth Management, Inc. no RAUM	Louisville, Ky	Wirehouse to a newly registered adviser (no RAUM reported yet)	Nov 13, 2015
2	Wells Fargo Advisors wirehouse	Mccollum Christoferson Group, LLC no RAUM	Amherst, Ny	Wirehouse to a newly registered adviser (no RAUM reported yet)	Nov 9, 2015
4	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Waco, Tx	Other	Oct 19, 2015 over 1 d
2	Wells Fargo Advisors wirehouse	Econ Wealth Management no RAUM	Harrisburg, Pa	Wirehouse to a newly registered adviser (no RAUM reported yet)	Oct 1, 2015 over 5 d
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Yakima, Wa	Wirehouse to affiliated broker-dealer or bank	Sep 18, 2015
6	Wells Fargo Advisors wirehouse	Berkeley Capital Partners, LLC no RAUM	Norcross, Ga	Wirehouse to a newly registered adviser (no RAUM reported yet)	Aug 25, 2015
2	Wells Fargo Advisors wirehouse	Summit Financial Group Inc other	Odessa, Tx	Other	Aug 25, 2015
2	Wells Fargo Advisors wirehouse	Commonwealth Financial Network national BD	Reston, Va	Wirehouse to affiliated broker-dealer or bank	Aug 25, 2015
2	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Hattiesburg, Ms	Other	Jul 20, 2015
2	Wells Fargo Advisors wirehouse	Dedora Capital, Inc. no RAUM	Roseville, Ca +1	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 30, 2015
2	Wells Fargo Advisors wirehouse	Arca Wealth, LLC no RAUM	Portsmouth, Nh	Wirehouse to a newly registered adviser (no RAUM reported yet)	Jun 17, 2015
3	Wells Fargo Advisors wirehouse	Summit Financial Group Inc other	Marble Falls, Tx	Other	Jun 15, 2015
2	Wells Fargo Advisors wirehouse	Independent Advisor Alliance, LLC other	Clemmons, Nc	Other	May 27, 2015
4	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Pittsburgh, Pa	Other	May 6, 2015
10	Wells Fargo Advisors wirehouse	Captrust Wealth Advisors no RAUM	Holland, Mi	Wirehouse to a newly registered adviser (no RAUM reported yet)	Apr 1, 2015 over 1 d
2	Wells Fargo Advisors wirehouse	Stifel, Nicolaus & Company, Incorporated national BD	St Joseph, Mi	Wirehouse to affiliated broker-dealer or bank	Feb 9, 2015
2	Wells Fargo Advisors wirehouse	Grand Central Investment Group, LLC other	Tampa, Fl	Other	Feb 4, 2015
2	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Fairlawn, Oh	Other	Jan 16, 2015
5	Wells Fargo Advisors wirehouse	Raymond James Financial Services Advisors, Inc other	Homestead, Fl +3	Other	Jan 9, 2015 over 11 d

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300 teams match.derived from registration dates