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 Sowell Management
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 | Sowell Management independent RIA | Teton Wealth Group LLC independent RIA | North Little Rock, Ar | RIA to RIA | May 23, 2024 |
| 4 | Sowell Management independent RIA | First Financial Services, LLC no RAUM | North Little Rock, Ar | RIA to a newly registered adviser | Mar 5, 2024 |
| 2 | Sowell Management independent RIA | Efficient Advisors independent RIA | North Little Rock, Ar | RIA to RIA | Dec 1, 2023 |
| 2 | Sowell Management independent RIA | Inspire Advisors, LLC independent RIA | Little Rock, Ar | RIA to RIA | Jun 14, 2023 |
| 4 | Sowell Management independent RIA | Heritage Oak Wealth Advisors no RAUM | North Little Rock, Ar +1 | RIA to a newly registered adviser | May 1, 2023 |
| 2 | Sowell Management independent RIA | Efficient Advisors independent RIA | High Point, Nc +1 | RIA to RIA | Mar 1, 2023 |
| 4 | Sowell Management independent RIA | New Wave Wealth Advisors no RAUM | North Little Rock, Ar +1 | RIA to a newly registered adviser | Dec 31, 2022 |
| 2 | Sowell Management independent RIA | Ipsen Advisor Group no RAUM | North Little Rock, Ar | RIA to a newly registered adviser | Mar 31, 2022 |
| 2 | Sowell Management independent RIA | Pegasus Management Services L.L.C. state registered | King Of Prussia, Pa +1 | RIA to a state-registered adviser | Jun 29, 2021 over 2 d |
| 2 | Sowell Management other | Hunt Wealth Management independent RIA | North Little Rock, Ar | Other | Jun 13, 2017 |
| 8 | Sowell Management other | Institute For Wealth Advisors, Inc. other | North Little Rock, Ar | Other | Jan 25, 2017 over 9 d |