Teams that left J. W. Cole 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 |
|---|---|---|---|---|---|
| 2 | J. W. Cole Advisors, Inc. BD affiliated | Chicago Investment Advisory Council, Inc. independent RIA | Tampa, Fl | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 |
| 2 | J. W. Cole Advisors, Inc. BD affiliated | Money Concepts Advisory Service BD affiliated | Troy, Mi | Affiliated broker-dealer or bank to another | Feb 28, 2025 |
| 2 | J. W. Cole Advisors, Inc. BD affiliated | Blue Financial independent RIA | Tampa, Fl | Affiliated broker-dealer or bank to independent RIA | May 6, 2024 |
| 2 | J• W• C••• A•••••••• I••• BD affiliated | L•••••••• C•••••• G••••• I••• no RAUM | Chicago, Il +1 | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2023 |
| 2 | J• W• C••• A•••••••• I••• BD affiliated | W••••• E••••••••• A••••••• S•••••••• L•• independent RIA | Hutchinson, Mn +1 | Affiliated broker-dealer or bank to independent RIA | May 2, 2023 |
| 2 | J• W• C••• A•••••••• I••• BD affiliated | S••••• A••••••• W•••••• L•• no RAUM | Tampa, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Dec 1, 2022 |
| 2 | J• W• C••• A•••••••• I••• independent RIA | A••••••• S••••••• N•••••• independent RIA | Tampa, Fl +1 | RIA to RIA | Aug 27, 2021 |
| 2 | J• W• C••• A•••••••• I••• independent RIA | M••••••••• W••••• A•••••••• L•• asset manager | Tampa, Fl | Other | Dec 22, 2020 |
| 2 | J• W• C••• A•••••••• I••• independent RIA | S••••••••• W••••• M••••••••• L•• state registered | Tampa, Fl | RIA to a state-registered adviser | Jul 15, 2020 |
| 4 | J• W• C••• A•••••••• I••• BD affiliated | A• W••••• M••••••••• L•• independent RIA | Tampa, Fl | Affiliated broker-dealer or bank to independent RIA | May 8, 2019 over 6 d |
| 3 | J• W• C••• A•••••••• I••• independent RIA | C••••••••• F•••••••• N•••••• national BD | Tampa, Fl | RIA to affiliated broker-dealer or bank | Mar 21, 2019 over 1 d |
| 2 | J• W• C••• A•••••••• I••• other | V•••• C•••••• P•••••••• L•• other | Tampa, Fl | Other | Feb 7, 2017 |
| 2 | J• W• C••• A•••••••• I••• other | S••••••••• A•••••• A•••••••• I••• other | Tampa, Fl | Other | Dec 23, 2016 |
| 2 | J• W• C••• A•••••••• I••• other | W••••• Q••••••••• L•• independent RIA | Tampa, Fl | Other | May 6, 2016 |
| 3 | J• W• C••• A•••••••• I••• other | C•••••••• C•••••• W••••• M••••••••• L•• independent RIA | Tampa, Fl | Other | Mar 8, 2016 |
The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.