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 Ssn Advisory, 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 |
|---|---|---|---|---|---|
| 4 | Ssn Advisory, Inc. BD affiliated | Horizon Financial independent RIA | West Henrietta, Ny | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2020 over 4 d |
| 2 | Ssn Advisory, Inc. BD affiliated | The Marshall Financial Group LLC independent RIA | Towson, Md | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2020 |
| 4 | Ssn Advisory, Inc. BD affiliated | LPL Financial LLC BD affiliated | Irondale, Al +1 | Affiliated broker-dealer or bank to another | Sep 2, 2020 |
| 3 | Ssn Advisory, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Trussville, Al | Affiliated broker-dealer or bank to another | Sep 2, 2020 |
| 2 | Ssn Advisory, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Frankfort, Il | Affiliated broker-dealer or bank to another | Aug 26, 2020 |
| 2 | Ssn Advisory, Inc. BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Scotsdale, Az +1 | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2020 |
| 7 | Ssn Advisory, Inc. BD affiliated | H. Beck, Inc. BD affiliated | Gaithersburg, Md | Affiliated broker-dealer or bank to another | Jul 24, 2020 |
| 2 | Ssn Advisory, Inc. BD affiliated | LPL Financial LLC BD affiliated | Ft Myers, Fl +1 | Affiliated broker-dealer or bank to another | Jul 21, 2020 |
| 2 | Ssn Advisory, Inc. BD affiliated | Silver Oak Securities, Inc. independent RIA | Louisville, Ky | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2018 |
| 4 | Ssn Advisory, Inc. BD affiliated | Silver Oak Securities, Inc. independent RIA | Greenwood, In +2 | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2018 over 3 d |
| 3 | Ssn Advisory, Inc. other | Prairie Rivers Investments, LLC other | Robinson, Il | Other | Dec 31, 2017 |
| 2 | Ssn Advisory, Inc. other | Ic Advisory Services, Inc. other | Knoxville, Tn | Other | Oct 2, 2017 |
| 2 | Ssn Advisory, Inc. other | Skg Capital Advisors, LLC independent RIA | Albuquerque, Nm | Other | May 11, 2017 |
| 2 | Ssn Advisory, Inc. other | Trustmont Advisory Group, Inc. other | Mansfield, Oh | Other | Feb 1, 2016 over 9 d |