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 Sagepoint Financial, 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
3	Sagepoint Financial, Inc. BD affiliated	Third Street Advisors, LLC independent RIA	Wausau, Wi	Affiliated broker-dealer or bank to independent RIA	Sep 1, 2023
2	Sagepoint Financial, Inc. BD affiliated	B & C Wealth Management unclassified	San Marcos, Ca +1	Other	Sep 1, 2023
2	Sagepoint Financial, Inc. BD affiliated	Harman Asset Management, LLC unclassified	The Woodlands, Tx	Other	Sep 1, 2023
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group BD affiliated	Scottsdale, Az	Affiliated broker-dealer or bank to another	Sep 1, 2023
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group BD affiliated	Bellaire, Tx	Affiliated broker-dealer or bank to another	Sep 1, 2023
2	Sagepoint Financial, Inc. BD affiliated	Ironbridge Wealth Counsel, LLC state registered	Scottsdale, Az	Affiliated broker-dealer or bank to a state-registered adviser	Sep 1, 2023
5	Sagepoint Financial, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Gladstone, Or +3	Affiliated broker-dealer or bank to another	May 4, 2023
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Newington, Ct	Affiliated broker-dealer or bank to another	May 2, 2023 over 1 d
2	Sagepoint Financial, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Vancouver, Wa	Affiliated broker-dealer or bank to another	Apr 3, 2023
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC independent RIA	Wooster, Oh +1	Affiliated broker-dealer or bank to independent RIA	Mar 14, 2023
3	Sagepoint Financial, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Hudson, Ma	Affiliated broker-dealer or bank to another	Feb 3, 2023
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC independent RIA	Mason City, Ia +1	Affiliated broker-dealer or bank to independent RIA	Dec 6, 2022 over 4 d
6	Sagepoint Financial, Inc. BD affiliated	Channel Wealth, LLC no RAUM	Santa Barbara, Ca +1	Affiliated broker-dealer or bank to a newly registered adviser	Nov 1, 2022
3	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Sterling, Co +1	Affiliated broker-dealer or bank to independent RIA	May 18, 2022
2	Sagepoint Financial, Inc. BD affiliated	Perigon Wealth Management, LLC independent RIA	Daufuskie Island, Sc +1	Affiliated broker-dealer or bank to independent RIA	Apr 29, 2022 over 4 d
5	Sagepoint Financial, Inc. BD affiliated	Freedom Wealth Alliance independent RIA	Milwaukee, Wi	Affiliated broker-dealer or bank to independent RIA	Feb 24, 2022
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Las Vegas, Nv	Affiliated broker-dealer or bank to independent RIA	Jan 5, 2022
5	Sagepoint Financial, Inc. BD affiliated	Arkadios Wealth Advisors BD affiliated	Angleton, Tx +1	Affiliated broker-dealer or bank to another	Oct 18, 2021 over 2 d
3	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Tempe, Az	Affiliated broker-dealer or bank to another	Mar 14, 2021
3	Sagepoint Financial, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Pittsburgh, Pa	Affiliated broker-dealer or bank to another	Dec 22, 2020
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Santa Barbara, Ca	Affiliated broker-dealer or bank to independent RIA	Dec 17, 2020
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Las Vegas, Nv	Affiliated broker-dealer or bank to independent RIA	Dec 17, 2020
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Denver, Co +1	Affiliated broker-dealer or bank to independent RIA	Dec 16, 2020 over 1 d
6	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Pittsburgh, Pa	Affiliated broker-dealer or bank to another	Dec 14, 2020 over 8 d
4	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Westlake Village, Ca +3	Affiliated broker-dealer or bank to independent RIA	Sep 9, 2020 over 6 d
2	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Chandler, Az +1	Affiliated broker-dealer or bank to independent RIA	Jul 8, 2020 over 8 d
3	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Chicago, Il	Affiliated broker-dealer or bank to another	Jun 5, 2020 over 5 d
3	Sagepoint Financial, Inc. BD affiliated	The Ameriflex Group independent RIA	Scottsdale, Az +1	Affiliated broker-dealer or bank to independent RIA	May 19, 2020 over 9 d
4	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Scotch Plains, Nj +2	Affiliated broker-dealer or bank to another	May 11, 2020 over 2 d
2	Sagepoint Financial, Inc. BD affiliated	Kestra Advisory Services, LLC BD affiliated	Littleton, Co	Affiliated broker-dealer or bank to another	Jan 31, 2020
4	Sagepoint Financial, Inc. BD affiliated	Independent Financial Group, LLC independent RIA	Delafield, Wi	Affiliated broker-dealer or bank to independent RIA	Jan 13, 2020 over 3 d
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Clifton, Nj +1	Affiliated broker-dealer or bank to another	Jan 10, 2020
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Portland, Or +1	Affiliated broker-dealer or bank to another	Jan 8, 2020 over 2 d
5	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Phoenix, Az +1	Affiliated broker-dealer or bank to another	Jan 7, 2020 over 7 d
7	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Los Angeles, Ca +4	Affiliated broker-dealer or bank to another	Dec 16, 2019 over 23 d
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	East Grand Forks, Mn	Affiliated broker-dealer or bank to another	Dec 11, 2019 over 9 d
2	Sagepoint Financial, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Chicago, Il	Affiliated broker-dealer or bank to another	Nov 14, 2019
2	Sagepoint Financial, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Hastings, Mn +1	Affiliated broker-dealer or bank to another	Nov 12, 2019 over 7 d
4	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Granite Falls, Nc	Affiliated broker-dealer or bank to another	Sep 19, 2019
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC BD affiliated	Mt Pleasant, Pa +1	Affiliated broker-dealer or bank to another	Aug 30, 2019
2	Sagepoint Financial, Inc. BD affiliated	Commonwealth Financial Network national BD	Littleton, Co	Affiliated broker-dealer or bank to another	Aug 15, 2019
2	Sagepoint Financial, Inc. BD affiliated	Hemming& Wealth Management, Inc. no RAUM	Traverse City, Mi	Affiliated broker-dealer or bank to a newly registered adviser	May 6, 2019
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC independent RIA	Fargo, Nd	Affiliated broker-dealer or bank to independent RIA	Dec 7, 2018
2	Sagepoint Financial, Inc. BD affiliated	LPL Financial LLC independent RIA	La Crosse, Wi +1	Affiliated broker-dealer or bank to independent RIA	Aug 24, 2018
2	Sagepoint Financial, Inc. BD affiliated	Mmc Securities LLC no RAUM	San Diego, Ca	Other	Jul 6, 2018
2	Sagepoint Financial, Inc. BD affiliated	Mma Securities LLC no RAUM	San Diego, Ca	Other	Jul 6, 2018
2	Sagepoint Financial, Inc. BD affiliated	Mma Securities LLC no RAUM	San Diego, Ca	Other	Jun 11, 2018 over 7 d
3	Sagepoint Financial, Inc. BD affiliated	B.A. Roberts Financial Services, Inc. no RAUM	Marquette, Mi	Affiliated broker-dealer or bank to a newly registered adviser	Dec 31, 2017 over 8 d
2	Sagepoint Financial, Inc. other	Signator Investors, Inc. other	Fresno, Ca	Other	Mar 9, 2017
2	Sagepoint Financial, Inc. other	Sii Investments, Inc. other	Portland, Or	Other	Aug 15, 2016 over 7 d
2	Sagepoint Financial, Inc. other	Cullen Financial Advisors unclassified	San Francisco, Ca	Other	Mar 8, 2016
2	Sagepoint Financial, Inc. other	Pruco Securities, LLC other	Houston, Tx	Other	Jan 13, 2016
3	Sagepoint Financial, Inc. other	MML Investors Services, LLC other	Palm Beach Gardens, Fl +1	Other	Jan 11, 2016 over 1 d
2	Sagepoint Financial, Inc. other	Park Avenue Securities LLC other	Phoenix, Az	Other	Jan 11, 2016 over 2 d
2	Sagepoint Financial, Inc. other	Cambridge Investment Research Advisors, Inc. other	Nashville, Tn	Other	Jan 9, 2016
2	Sagepoint Financial, Inc. other	Securities America Advisors, Inc. other	Urbandale, Ia	Other	Nov 4, 2015
2	Sagepoint Financial, Inc. other	Sii Investments, Inc. other	Clinton Twp, Mi +1	Other	Sep 16, 2015 over 14 d

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57 teams match.derived from registration dates