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 B. Riley Wealth 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 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Ridgewood, Nj | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2026 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Irvine, Ca +1 | Affiliated broker-dealer or bank to another | Sep 16, 2025 over 1 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Newedge Advisors BD affiliated | Port Washington, Ny +1 | Affiliated broker-dealer or bank to another | Aug 13, 2025 |
| 4 | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Mayfield Heights, Oh +1 | Affiliated broker-dealer or bank to another | Jul 10, 2025 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Glen Head, Ny +1 | Affiliated broker-dealer or bank to another | Jul 10, 2025 |
| 4 | B. Riley Wealth Advisors, Inc. BD affiliated | Oneseven independent RIA | Sharon, Pa +2 | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2025 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Dallas, Tx | Affiliated broker-dealer or bank to another | May 30, 2025 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Steadtrust no RAUM | Wilmington, De | Affiliated broker-dealer or bank to a newly registered adviser | May 5, 2025 over 3 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Lubbock, Tx | Affiliated broker-dealer or bank to another | Apr 16, 2025 |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Palatine, Il +2 | Affiliated broker-dealer or bank to another | Apr 15, 2025 over 1 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Highland Park, Il +1 | Affiliated broker-dealer or bank to another | Mar 4, 2025 |
| 6 | B. Riley Wealth Advisors, Inc. BD affiliated | Arete Wealth Advisors, LLC BD affiliated | Jersey City, Nj | Affiliated broker-dealer or bank to another | Nov 26, 2024 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Bryn Mawr, Pa +1 | Affiliated broker-dealer or bank to another | Nov 24, 2024 over 9 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | LPL Financial LLC BD affiliated | Richardson, Tx | Affiliated broker-dealer or bank to another | Nov 20, 2024 |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Franklin, Tn | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 |
| 18 | B. Riley Wealth Advisors, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Boca Raton, Fl +3 | Affiliated broker-dealer or bank to another | Oct 30, 2024 over 1 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Bryn Mawr, Pa | Affiliated broker-dealer or bank to another | Oct 16, 2024 |
| 5 | B. Riley Wealth Advisors, Inc. BD affiliated | Prospera Financial Services, Inc. BD affiliated | Memphis, Tn | Affiliated broker-dealer or bank to another | Sep 26, 2024 over 5 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Memphis, Tn | Affiliated broker-dealer or bank to another | Sep 6, 2024 |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | Duncan Williams Asset Management, LLC mixed wealth | Memphis, Tn | Affiliated broker-dealer or bank to independent RIA | Jun 20, 2024 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Dallas, Tx | Other | May 6, 2024 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2024 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Washington, Dc | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2024 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Chicago, Il | Affiliated broker-dealer or bank to another | Jul 27, 2023 |
| 4 | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Nashville, Tn +1 | Affiliated broker-dealer or bank to another | Oct 25, 2022 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Avantax Advisory Services BD affiliated | Boca Raton, Fl | Affiliated broker-dealer or bank to another | Sep 30, 2022 |
| 10 | B. Riley Wealth Advisors, Inc. BD affiliated | Atcap Partners, LLC independent RIA | New York, Ny | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 over 1 d |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | New York, Ny | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2022 over 3 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Stage Wealth Management, Inc. no RAUM | White Plains, Ny | Affiliated broker-dealer or bank to a newly registered adviser | Jun 29, 2022 |
| 6 | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Red Bank, Nj +1 | Affiliated broker-dealer or bank to another | Jun 21, 2022 over 15 d |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | Kapstone Financial Advisors LLC no RAUM | Dayton, Oh | Affiliated broker-dealer or bank to a newly registered adviser | Apr 1, 2022 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Assured Advisory Group, LLC state registered | East Dundee, Il | Affiliated broker-dealer or bank to a state-registered adviser | Dec 6, 2021 |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Clearwater, Fl +1 | Affiliated broker-dealer or bank to another | Feb 5, 2021 over 11 d |
| 6 | B. Riley Wealth Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Flushing, Ny | Affiliated broker-dealer or bank to another | Jan 20, 2021 |
| 6 | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Tampa, Fl | Affiliated broker-dealer or bank to another | Dec 22, 2020 |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Fort Lauderdale, Fl | Affiliated broker-dealer or bank to another | Dec 24, 2019 |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Miller Place, Ny | Affiliated broker-dealer or bank to another | Oct 22, 2019 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | Hawke Financial Group no RAUM | Meridian, Id | Affiliated broker-dealer or bank to a newly registered adviser | Mar 27, 2019 over 1 d |
| 3 | B. Riley Wealth Advisors, Inc. other | Aegis Capital Corp. other | Paramus, Nj | Other | Feb 17, 2017 |
| 3 | B. Riley Wealth Advisors, Inc. other | Advisory Services Network other | Moorestown, Nj +1 | Other | Aug 31, 2016 |
| 2 | B. Riley Wealth Advisors, Inc. other | Concorde Asset Management, LLC other | Braintree, Ma | Other | Mar 1, 2016 |
| 2 | B. Riley Wealth Advisors, Inc. other | Claraphi Advisory Network, LLC other | Molalla, Or +1 | Other | Dec 31, 2015 |
| 4 | B. Riley Wealth Advisors, Inc. other | Gwn Securities Inc. other | Norwalk, Ct | Other | Jun 17, 2015 over 2 d |
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43 teams match.derived from registration dates