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 Wfg Advisors, LP
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 | Wfg Advisors, LP other | Sound Income Strategies, LLC other | Cordova, Tn | Other | Sep 22, 2017 over 6 d |
| 2 | Wfg Advisors, LP other | Kestra Advisory Services, LLC other | Memphis, Tn | Other | Sep 1, 2017 |
| 8 | Wfg Advisors, LP other | Clarus Wealth Advisors, LLC other | Peoria, Az +1 | Other | Aug 30, 2017 over 1 d |
| 2 | Wfg Advisors, LP other | Kestra Advisory Services, LLC other | Troy, Mi | Other | Aug 25, 2017 |
| 2 | Wfg Advisors, LP other | Securities America Advisors, Inc. other | San Antonio, Tx +1 | Other | Aug 24, 2017 over 8 d |
| 2 | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | San Antonio, Tx +1 | Other | Aug 24, 2017 over 1 d |
| 6 | Wfg Advisors, LP other | Kestra Advisory Services, LLC other | Peoria, Il +2 | Other | Aug 23, 2017 over 2 d |
| 2 | Wfg Advisors, LP other | Commonwealth Financial Network national BD | Norfolk, Va | Other | Aug 21, 2017 over 8 d |
| 2 | Wfg Advisors, LP other | Ameriprise Financial Services, LLC national BD | Dallas, Tx | Other | Aug 4, 2017 |
| 3 | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Little Rock, Ar +1 | Other | Aug 3, 2017 |
| 3 | Wfg Advisors, LP other | Sunbelt Securities other | Dallas, Tx +1 | Other | Aug 3, 2017 over 12 d |
| 3 | Wfg Advisors, LP other | Scf Investment Advisors, Inc. other | Cypress, Tx +2 | Other | Aug 1, 2017 over 10 d |
| 3 | Wfg Advisors, LP other | Cambridge Investment Research Advisors, Inc. other | Houston, Tx +1 | Other | Aug 1, 2017 |
| 8 | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Dallas, Tx +1 | Other | Jul 17, 2017 over 22 d |
| 2 | Wfg Advisors, LP other | International Assets Investment Management, LLC other | Daphne, Al | Other | May 26, 2017 |
| 3 | Wfg Advisors, LP other | Waypoints Financial independent RIA | Sebring, Fl | Other | Mar 31, 2017 |
| 3 | Wfg Advisors, LP other | Kestra Advisory Services, LLC other | Lewes, De +1 | Other | Mar 21, 2017 |
| 2 | Wfg Advisors, LP other | Keel Point, LLC other | Brentwood, Tn | Other | Dec 27, 2016 |
| 7 | Wfg Advisors, LP other | Commonwealth Financial Network national BD | Dallas, Tx | Other | Nov 7, 2016 |
| 2 | Wfg Advisors, LP other | Kms Financial Services, Inc other | Fort Worth, Tx | Other | Nov 3, 2016 |
| 4 | Wfg Advisors, LP other | Rz Wealth other | Wayne, Pa | Other | Jul 14, 2016 |
| 2 | Wfg Advisors, LP other | Lion Street Advisors, LLC other | Prairie Village, Ks | Other | Aug 19, 2015 |
| 3 | Wfg Advisors, LP other | Securities America Advisors, Inc. other | Fort Worth, Tx | Other | Apr 27, 2015 |
| 2 | Wfg Advisors, LP other | Hughes Financial Services, LLC no RAUM | Herndon, Va | Other | Feb 5, 2015 |