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 Money Concepts Advisory Service
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 |
|---|---|---|---|---|---|
| 5 | Money Concepts Advisory Service BD affiliated | Harbour Investments, Inc. independent RIA | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 |
| 2 | Money Concepts Advisory Service BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Prairie Village, Ks +1 | Affiliated broker-dealer or bank to another | Feb 4, 2026 |
| 4 | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to another | Sep 13, 2024 |
| 2 | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Louisville, Ky | Affiliated broker-dealer or bank to another | Aug 19, 2024 |
| 2 | Money Concepts Advisory Service BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Alexandria, Va | Affiliated broker-dealer or bank to another | Aug 16, 2024 |
| 3 | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. no RAUM | Louisville, Ky | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2022 over 1 d |
| 2 | Money Concepts Advisory Service BD affiliated | Guidance Capital, Inc. no RAUM | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to a newly registered adviser | Dec 15, 2022 |
| 2 | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Palm Beach Gardens, Fl | Affiliated broker-dealer or bank to another | Dec 15, 2021 |
| 3 | Money Concepts Advisory Service BD affiliated | LPL Financial LLC BD affiliated | Defiance, Oh +1 | Affiliated broker-dealer or bank to another | Jul 1, 2021 |
| 4 | Money Concepts Advisory Service other | LPL Financial LLC other | Palm Beach Gardens, Fl | Other | Dec 10, 2015 |
| 3 | Money Concepts Advisory Service other | LPL Financial LLC other | Dickinson, Nd +1 | Other | Dec 10, 2015 |