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 Curian Capital, LLC
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 |
|---|---|---|---|---|---|
| 3 | Curian Capital, LLC other | Fidelity Personal And Workplace Advisors no RAUM | Denver, Co | Other | Mar 29, 2016 |
| 3 | Curian Capital, LLC other | Advice And Planning Services other | Denver, Co | Other | Mar 21, 2016 over 8 d |
| 3 | Curian Capital, LLC other | Charles Schwab & Co., Inc. national BD | Denver, Co | Other | Mar 21, 2016 over 8 d |
| 2 | Curian Capital, LLC other | The Pacific Financial Group, Inc. other | Denver, Co | Other | Mar 21, 2016 over 8 d |
| 4 | Curian Capital, LLC other | Assetmark, Inc. other | Denver, Co | Other | Sep 15, 2015 over 1 d |
| 3 | Curian Capital, LLC other | Sei Investments Management Corp other | Denver, Co | Other | Sep 15, 2015 |
| 3 | Curian Capital, LLC other | Advisors Capital Management, LLC other | Franklin, Tn | Other | Sep 15, 2015 |