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 Investment Advisors Corp
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 | Investment Advisors Corp BD affiliated | Voya Financial Advisors, Inc. BD affiliated | West Des Moines, Ia | Affiliated broker-dealer or bank to another | Oct 20, 2018 over 12 d |
| 2 | Investment Advisors Corp BD affiliated | Babb Wealth Advisors LLC independent RIA | Flagstaff, Az | Affiliated broker-dealer or bank to independent RIA | Oct 19, 2018 |
| 2 | Investment Advisors Corp BD affiliated | Osaic Institutions, Inc. BD affiliated | Charles City, Ia +1 | Affiliated broker-dealer or bank to another | Oct 11, 2018 over 1 d |
| 2 | Investment Advisors Corp BD affiliated | Summit Financial Group Inc BD affiliated | Broomfield, Co | Affiliated broker-dealer or bank to another | Sep 10, 2018 |
| 2 | Investment Advisors Corp BD affiliated | Independent Wealth Network, Inc. independent RIA | Addison, Tx | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 |
| 4 | Investment Advisors Corp other | Independent Wealth Network, Inc. other | Phoenix, Az +2 | Other | Sep 29, 2017 |
| 3 | Investment Advisors Corp other | Ao Wealth Advisory independent RIA | Urbandale, Ia +1 | Other | Aug 10, 2017 |
| 4 | Investment Advisors Corp other | Raymond James Financial Services Advisors, Inc other | Pella, Ia | Other | Nov 9, 2015 |