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 Kalos 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.

AdvisorsFromToBranchTypeLeft
2Kalos Management BD affiliatedContinuum Advisory, LLC independent RIATampa, FlAffiliated broker-dealer or bank to independent RIANov 22, 2022
7Kalos Management BD affiliatedArkadios Wealth Advisors BD affiliatedPonte Vedra Beach, Fl +1Affiliated broker-dealer or bank to anotherSep 30, 2022
3Kalos Management BD affiliatedArkadios Wealth Advisors BD affiliatedColumbia, ScAffiliated broker-dealer or bank to anotherSep 30, 2022
2Kalos Management BD affiliatedArkadios Wealth Advisors BD affiliatedPonte Vedra Beach, FlAffiliated broker-dealer or bank to anotherSep 8, 2022
2Kalos Management BD affiliatedArkadios Wealth Advisors BD affiliatedDayton, OhAffiliated broker-dealer or bank to anotherSep 8, 2022
over 5 d
2Kalos Management BD affiliatedKingswood Wealth Advisors, LLC independent RIAPonte Vedra Beach, FlAffiliated broker-dealer or bank to independent RIASep 1, 2022
over 8 d
2Kalos Management BD affiliatedArkadios Wealth Advisors BD affiliatedPonte Vedra Beach, FlAffiliated broker-dealer or bank to anotherAug 19, 2022
over 5 d
2Kalos Management BD affiliatedArkadios Wealth Advisors BD affiliatedCharlotte, NcAffiliated broker-dealer or bank to anotherAug 19, 2022
5Kalos Management BD affiliatedAe Wealth Management, LLC BD affiliatedPonte Vedra Beach, FlAffiliated broker-dealer or bank to anotherAug 1, 2022
5Kalos Management BD affiliatedAe Wealth Management, LLC BD affiliatedSunset Hills, Mo +3Affiliated broker-dealer or bank to anotherAug 1, 2022
5Kalos Management BD affiliatedTransce3nd LLC independent RIAPonte Vedra Beach, FlAffiliated broker-dealer or bank to independent RIAAug 1, 2022
2Kalos Management BD affiliatedTransce3nd LLC independent RIABastrop, Tx +1Affiliated broker-dealer or bank to independent RIAAug 1, 2022
2Kalos Management BD affiliatedIndependent Financial Group, LLC BD affiliatedPonte Vedra Beach, FlAffiliated broker-dealer or bank to anotherAug 2, 2021
2Kalos Management BD affiliatedAe Wealth Management, LLC independent RIAPonte Vedra Beach, FlAffiliated broker-dealer or bank to independent RIASep 1, 2020
over 2 d
3Kalos Management BD affiliatedBrighter Financial Capital Management, LLC independent RIAPonte Vedra Beach, FlAffiliated broker-dealer or bank to independent RIAMar 31, 2020
over 13 d
4Kalos Management BD affiliatedDempsey Lord Smith, LLC independent RIAPonte Vedra Beach, FlAffiliated broker-dealer or bank to independent RIAJul 22, 2019
7Kalos Management BD affiliatedCatalyst Wealth Management no RAUMPonte Vedra Beach, FlAffiliated broker-dealer or bank to a newly registered adviserJul 11, 2018
2Kalos Management otherCramer & Rauchegger, Inc. independent RIAMaintland, Fl +1OtherDec 31, 2015
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18 teams match.derived from registration dates