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 Gwn Securities 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 |
|---|---|---|---|---|---|
| 2 | Gwn Securities Inc. BD affiliated | Strategic Advisers LLC national BD | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to another | Mar 19, 2026 |
| 2 | Gwn Securities Inc. BD affiliated | Calton & Associates, Inc. independent RIA | Delray Beach, Fl +1 | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2025 |
| 3 | Gwn Securities Inc. BD affiliated | Planmember Securities Corporation independent RIA | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 |
| 8 | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 over 3 d |
| 5 | Gwn Securities Inc. BD affiliated | Catalyst Wealth Management LLC no RAUM | Houston, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Apr 16, 2024 over 3 d |
| 2 | Gwn Securities Inc. BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to another | Sep 14, 2021 over 2 d |
| 2 | Gwn Securities Inc. BD affiliated | Intirety, LLC state registered | Seattle, Wa +1 | Affiliated broker-dealer or bank to a state-registered adviser | Dec 7, 2020 over 7 d |
| 2 | Gwn Securities Inc. BD affiliated | Blackridge Asset Management, LLC independent RIA | Weston, Fl +1 | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2019 |
| 2 | Gwn Securities Inc. other | Triad Advisors, LLC other | Somerville, Nj +1 | Other | Aug 16, 2017 over 1 d |