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 1st Global 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 |
|---|---|---|---|---|---|
| 9 | 1st Global Advisors Inc BD affiliated | Beall Barclay Advisors, LLC unclassified | Fort Smith, Ar +1 | Other | Oct 25, 2019 |
| 3 | 1st Global Advisors Inc BD affiliated | Headquarters Advisory Group, LLC unclassified | Parsippany, Nj | Other | Oct 25, 2019 |
| 3 | 1st Global Advisors Inc BD affiliated | Pk Financial Strategies, LLC unclassified | Phoenix, Az | Other | Oct 25, 2019 |
| 2 | 1st Global Advisors Inc BD affiliated | Bfj Wealth Management, LLC unclassified | Columbia, Md | Other | Oct 25, 2019 |
| 2 | 1st Global Advisors Inc BD affiliated | Green & Deckert LLC independent RIA | Lubbock, Tx | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2019 |
| 2 | 1st Global Advisors Inc BD affiliated | Meaden & Moore Financial Services, Ltd. unclassified | Cleveland, Oh | Other | Oct 25, 2019 |
| 2 | 1st Global Advisors Inc BD affiliated | I.M. Financial, LLC unclassified | Denver, Co | Other | Oct 25, 2019 |
| 4 | 1st Global Advisors Inc BD affiliated | Reason Financial independent RIA | San Diego, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Oct 24, 2019 over 1 d |
| 2 | 1st Global Advisors Inc BD affiliated | LPL Financial LLC BD affiliated | Spartanburg, Sc | Affiliated broker-dealer or bank to another | Oct 2, 2019 |
| 2 | 1st Global Advisors Inc BD affiliated | I.M. Financial, LLC unclassified | Greenwood Village, Co | Other | Sep 4, 2019 |
| 2 | 1st Global Advisors Inc BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Baytown, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Feb 8, 2019 |
| 7 | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Sparta, Nj +1 | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 |
| 2 | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Rockville, Md | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2018 |
| 3 | 1st Global Advisors Inc BD affiliated | Egp Wealth Management, LLC state registered | N Little Rock, Ar +1 | Affiliated broker-dealer or bank to a state-registered adviser | Oct 3, 2018 over 1 d |
| 3 | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Lincoln, Ri | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 |
| 2 | 1st Global Advisors Inc BD affiliated | Bentley Wealth Advisors, LLC state registered | Warwick, Ri | Affiliated broker-dealer or bank to a state-registered adviser | Jun 12, 2018 |
| 2 | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Boston, Ma | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 |
| 2 | 1st Global Advisors Inc BD affiliated | Commonwealth Financial Network national BD | Bel Air, Md | Affiliated broker-dealer or bank to another | May 11, 2018 |
| 4 | 1st Global Advisors Inc other | Cambridge Investment Research Advisors, Inc. other | Richmond, Va | Other | Nov 16, 2017 over 1 d |
| 4 | 1st Global Advisors Inc other | Mueller Financial Services, Inc. unclassified | Elgin, Il +1 | Other | Mar 30, 2017 |
| 3 | 1st Global Advisors Inc other | Charles Schwab & Co., Inc. national BD | Greenville, Tx +1 | Other | Sep 30, 2016 |