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 Geneos Wealth Management, 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 |
|---|---|---|---|---|---|
| 3 | Geneos Wealth Management, Inc. BD affiliated | Diversified, LLC independent RIA | Wexford, Pa | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2025 |
| 2 | Geneos Wealth Management, Inc. BD affiliated | LPL Financial LLC BD affiliated | Cool, Ca | Affiliated broker-dealer or bank to another | Sep 13, 2024 over 3 d |
| 2 | Geneos Wealth Management, Inc. BD affiliated | Prepared Retirement Institute LLC independent RIA | Montgomeryville, Pa | Affiliated broker-dealer or bank to independent RIA | Apr 12, 2024 |
| 2 | Geneos Wealth Management, Inc. BD affiliated | Lone Peak Advisers independent RIA | Cedar City, Ut +1 | Affiliated broker-dealer or bank to independent RIA | Jul 18, 2022 |
| 3 | Geneos Wealth Management, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Arlington, Tx | Affiliated broker-dealer or bank to another | Jun 29, 2022 |
| 12 | Geneos Wealth Management, Inc. BD affiliated | LPL Financial LLC BD affiliated | Baton Rouge, La +2 | Affiliated broker-dealer or bank to another | Nov 22, 2021 |
| 4 | Geneos Wealth Management, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Clarence Center, Ny | Affiliated broker-dealer or bank to another | May 14, 2021 over 5 d |
| 2 | Geneos Wealth Management, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Overland Park, Ks | Affiliated broker-dealer or bank to another | Nov 10, 2020 |
| 2 | Geneos Wealth Management, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Prescott, Az | Affiliated broker-dealer or bank to another | Oct 23, 2020 over 5 d |
| 2 | Geneos Wealth Management, Inc. BD affiliated | Osaic Advisory Services, LLC independent RIA | Gettysburg, Pa | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2018 over 5 d |
| 2 | Geneos Wealth Management, Inc. other | Cwm, LLC independent RIA | Colorado Springs, Co | Other | Jan 12, 2018 |
| 2 | Geneos Wealth Management, Inc. other | Commonwealth Financial Network national BD | Gettysburg, Pa +1 | Other | Sep 8, 2017 |
| 4 | Geneos Wealth Management, Inc. other | Global Retirement Partners LLC other | King Of Prussia, Pa +1 | Other | Feb 19, 2016 |