DFX Intelligence

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.

Advisor teams

Teams that left Global Financial Private Capital, 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	Global Financial Private Capital, Inc. independent RIA	Daniel Krug & Associates independent RIA	Sarasota, Fl	RIA to RIA	Dec 31, 2019
2	Global Financial Private Capital, Inc. independent RIA	Assetmark, Inc. BD affiliated	Sarasota, Fl	RIA to affiliated broker-dealer or bank	Dec 17, 2019
2	Global Financial Private Capital, Inc. independent RIA	Assetmark, Inc. BD affiliated	Sarasota, Fl	RIA to affiliated broker-dealer or bank	Jun 7, 2019 over 14 d
4	Global Financial Private Capital, Inc. independent RIA	Carlson Financial independent RIA	Sarasota, Fl	RIA to RIA	Apr 26, 2019 over 4 d
2	Global Financial Private Capital, Inc. BD affiliated	Intervest International, Inc. independent RIA	Sarasota, Fl	Affiliated broker-dealer or bank to independent RIA	Apr 23, 2019
2	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Affiliated broker-dealer or bank to independent RIA	Apr 4, 2019
2	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Arlington, Tx +1	Affiliated broker-dealer or bank to independent RIA	Mar 1, 2019 over 4 d
2	Global Financial Private Capital, Inc. BD affiliated	Outlook Wealth Advisors, LLC other	Shenandoah, Tx	Other	Jan 10, 2019
2	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Affiliated broker-dealer or bank to independent RIA	Oct 2, 2018 over 1 d
7	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Affiliated broker-dealer or bank to independent RIA	Aug 14, 2018 over 28 d
2	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Affiliated broker-dealer or bank to independent RIA	Jul 10, 2018
2	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Ann Arbor, Mi	Affiliated broker-dealer or bank to independent RIA	Jul 10, 2018
2	Global Financial Private Capital, Inc. BD affiliated	Truadvice LLC no RAUM	Sarasota, Fl	Affiliated broker-dealer or bank to a newly registered adviser	May 31, 2018 over 1 d
3	Global Financial Private Capital, Inc. BD affiliated	Ae Wealth Management, LLC independent RIA	Orlando, Fl +1	Affiliated broker-dealer or bank to independent RIA	May 4, 2018 over 3 d
2	Global Financial Private Capital, Inc. BD affiliated	Global Wealth Management Investment Advisory, Inc. other	Sarasota, Fl	Other	Apr 19, 2018
2	Global Financial Private Capital, Inc. BD affiliated	Accurate Wealth Management, LLC unclassified	Sarasota, Fl	Other	Mar 29, 2018
3	Global Financial Private Capital, Inc. other	Truadvice LLC no RAUM	Sarasota, Fl	Other	Mar 8, 2018 over 21 d
2	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Other	Mar 6, 2018
3	Global Financial Private Capital, Inc. other	Global Wealth Management Investment Advisory, Inc. other	Fort Lauderdale, Fl +1	Other	Jan 8, 2018
2	Global Financial Private Capital, Inc. other	Ronald Gelok & Associates, LLC state registered	Sarasota, Fl	Other	Jan 4, 2018
2	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Other	Jan 2, 2018 over 8 d
4	Global Financial Private Capital, Inc. other	Hobart Wealth other	Sarasota, Fl	Other	Nov 29, 2017 over 1 d
5	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC independent RIA	Sarasota, Fl	Other	Nov 6, 2017 over 28 d
2	Global Financial Private Capital, Inc. other	Elevation Capital Advisory independent RIA	Sarasota, Fl	Other	Jul 21, 2017
3	Global Financial Private Capital, Inc. other	Blue Ridge Wealth Planners independent RIA	Sarasota, Fl	Other	Jul 17, 2017
2	Global Financial Private Capital, Inc. other	Rjl Financial Group unclassified	Sarasota, Fl	Other	Jul 11, 2017
2	Global Financial Private Capital, Inc. other	Aspire Private Capital independent RIA	Sarasota, Fl	Other	Jun 12, 2017
3	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC other	Sarasota, Fl	Other	May 5, 2017 over 3 d
2	Global Financial Private Capital, Inc. other	Howard Bailey Securities, LLC independent RIA	Sarasota, Fl	Other	Apr 13, 2017
3	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC other	Sarasota, Fl	Other	Feb 6, 2017 over 10 d
2	Global Financial Private Capital, Inc. other	Elevated Capital Advisors, LLC other	Sarasota, Fl	Other	Feb 2, 2017
2	Global Financial Private Capital, Inc. other	Sandy Morris Financial & Estate Planning Services, LLC independent RIA	Tampa, Fl	Other	Jan 18, 2017
13	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC other	Sarasota, Fl	Other	Nov 17, 2016 over 64 d
6	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC other	Sarasota, Fl	Other	Sep 28, 2016 over 23 d
2	Global Financial Private Capital, Inc. other	Brookstone Wealth Advisors, LLC other	Sarasota, Fl	Other	Aug 16, 2016
3	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC other	Sarasota, Fl	Other	Jul 8, 2016 over 10 d
2	Global Financial Private Capital, Inc. other	Shp Wealth Management, LLC other	Sarasota, Fl	Other	Jul 5, 2016
3	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC no RAUM	Sarasota, Fl	Other	Jun 6, 2016 over 1 d
2	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC no RAUM	Sarasota, Fl	Other	May 4, 2016 over 1 d
2	Global Financial Private Capital, Inc. other	Ae Wealth Management, LLC no RAUM	Sarasota, Fl	Other	Mar 23, 2016 over 14 d

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40 teams match.derived from registration dates