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 Securities America Advisors, 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 |
|---|---|---|---|---|---|
| 6 | Securities America Advisors, Inc. BD affiliated | Cedar Brook Group independent RIA | Mayfield Hts, Oh | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2024 |
| 3 | Securities America Advisors, Inc. BD affiliated | Onedigital institutional | Reno, Nv | Other | Jun 14, 2024 |
| 3 | Securities America Advisors, Inc. BD affiliated | Onedigital institutional | Apex, Nc +1 | Other | Jun 14, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | Cedar Brook Group independent RIA | West Bllomfield, Mi +1 | Affiliated broker-dealer or bank to independent RIA | Jun 14, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | Upstate Advisors Group state registered | North Syracuse, Ny | Affiliated broker-dealer or bank to a state-registered adviser | Jun 14, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | Dbm Advisors, LLC state registered | Oklahoma City, Ok | Affiliated broker-dealer or bank to a state-registered adviser | Jun 14, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Waterbury, Ct | Affiliated broker-dealer or bank to another | Jun 10, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | Bfc Planning, Inc. BD affiliated | North Mankato, Mn | Affiliated broker-dealer or bank to another | Jun 3, 2024 |
| 7 | Securities America Advisors, Inc. BD affiliated | Bare Wealth Advisors independent RIA | Gap, Pa +2 | Affiliated broker-dealer or bank to independent RIA | May 31, 2024 over 5 d |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Pepper Pike, Oh | Affiliated broker-dealer or bank to another | May 21, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Spokane, Wa +1 | Affiliated broker-dealer or bank to another | May 21, 2024 |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | La Vista, Ne +2 | Affiliated broker-dealer or bank to another | May 16, 2024 over 7 d |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Kailua Kona, Hi | Affiliated broker-dealer or bank to another | May 9, 2024 |
| 6 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Royersford, Pa +2 | Affiliated broker-dealer or bank to another | May 7, 2024 over 2 d |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Cedar Bluff, Va | Affiliated broker-dealer or bank to another | May 7, 2024 |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Lincoln, Ri | Affiliated broker-dealer or bank to another | May 1, 2024 |
| 4 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | San Diego, Ca +1 | Affiliated broker-dealer or bank to another | Apr 26, 2024 over 3 d |
| 4 | Securities America Advisors, Inc. BD affiliated | Master'S Wealth Management Inc. no RAUM | Lancaster, Pa +1 | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2024 |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Decatur, Al | Affiliated broker-dealer or bank to another | Apr 1, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Brentwood, Tn | Affiliated broker-dealer or bank to another | Mar 27, 2024 |
| 5 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Sioux Falls, Sd | Affiliated broker-dealer or bank to another | Mar 19, 2024 over 23 d |
| 4 | Securities America Advisors, Inc. BD affiliated | Ameritime, LLC state registered | Olathe, Ks +1 | Affiliated broker-dealer or bank to a state-registered adviser | Mar 14, 2024 |
| 7 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Olathe, Ks +1 | Affiliated broker-dealer or bank to another | Mar 13, 2024 over 2 d |
| 5 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Hannibal, Mo | Affiliated broker-dealer or bank to another | Mar 13, 2024 over 1 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Independent Advisor Alliance, LLC independent RIA | St Charles, Il | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2024 over 6 d |
| 3 | Securities America Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Northfield, Mn | Affiliated broker-dealer or bank to another | Feb 23, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Kearney, Ne | Affiliated broker-dealer or bank to another | Feb 9, 2024 over 11 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Missoula, Mt | Affiliated broker-dealer or bank to another | Jan 26, 2024 over 6 d |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Crown Point, In | Affiliated broker-dealer or bank to another | Jan 24, 2024 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Helena, Mt | Affiliated broker-dealer or bank to another | Dec 31, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Wealth Strategies Group no RAUM | Newport Beach, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Dec 20, 2023 |
| 5 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | West Des Moines, Ia | Affiliated broker-dealer or bank to another | Dec 7, 2023 over 12 d |
| 5 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Worthington, Oh | Affiliated broker-dealer or bank to another | Dec 6, 2023 over 5 d |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Pleasant Grove, Ut | Affiliated broker-dealer or bank to another | Nov 20, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Cameron Park, Ca | Affiliated broker-dealer or bank to another | Oct 27, 2023 over 4 d |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Portland, Or +1 | Affiliated broker-dealer or bank to another | Oct 26, 2023 over 11 d |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Westwood, Nj +1 | Affiliated broker-dealer or bank to another | Oct 19, 2023 over 7 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Urbandale, Ia +1 | Affiliated broker-dealer or bank to another | Oct 17, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Geneos Wealth Management, Inc. BD affiliated | Shawnee, Ks | Affiliated broker-dealer or bank to another | Oct 12, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Rockwall, Tx | Affiliated broker-dealer or bank to another | Oct 10, 2023 |
| 4 | Securities America Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Vestavia Hills, Al +2 | Affiliated broker-dealer or bank to another | Oct 2, 2023 over 11 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Principal Securities, Inc. BD affiliated | Bismarck, Nd +1 | Affiliated broker-dealer or bank to another | Oct 2, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | West Sacramento, Ca | Affiliated broker-dealer or bank to another | Sep 29, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Murfreesboro, Tn | Affiliated broker-dealer or bank to another | Sep 22, 2023 over 3 d |
| 4 | Securities America Advisors, Inc. BD affiliated | Commonwealth Financial Network national BD | Omaha, Ne | Affiliated broker-dealer or bank to another | Sep 21, 2023 over 8 d |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Frisco, Tx | Affiliated broker-dealer or bank to another | Aug 15, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Deerfield, Il | Affiliated broker-dealer or bank to another | Aug 10, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Springfield, Mo | Affiliated broker-dealer or bank to another | Aug 9, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Cheektowaga, Ny | Affiliated broker-dealer or bank to another | Aug 6, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Neptune City, Nj +1 | Affiliated broker-dealer or bank to independent RIA | Aug 3, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Founders Financial Securities, LLC independent RIA | Charlton, Ma | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Jun 26, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Englewood, Co | Affiliated broker-dealer or bank to another | Jun 23, 2023 over 3 d |
| 2 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Glastonbury, Ct | Affiliated broker-dealer or bank to another | Jun 9, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Oneascent Financial Services LLC independent RIA | Crystal Lake, Il | Affiliated broker-dealer or bank to independent RIA | May 25, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Overland Park, Ks | Affiliated broker-dealer or bank to another | May 18, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | Glastonbury, Ct | Affiliated broker-dealer or bank to another | May 12, 2023 over 3 d |
| 3 | Securities America Advisors, Inc. BD affiliated | Cadaret Grant & Co Inc BD affiliated | La Vista, Ne | Affiliated broker-dealer or bank to another | May 9, 2023 |
| 3 | Securities America Advisors, Inc. BD affiliated | Redhawk Wealth Advisors, Inc. mixed wealth | West Hartford, Ct | Affiliated broker-dealer or bank to independent RIA | May 2, 2023 |
| 2 | Securities America Advisors, Inc. BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Las Vegas, Nv | Affiliated broker-dealer or bank to another | Apr 25, 2023 over 14 d |
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154 teams match.derived from registration dates