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 Level Four Advisory Services
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 | Level Four Advisory Services BD affiliated | Signal Advisors Wealth, LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2026 |
| 8 | Level Four Advisory Services BD affiliated | Good Life Advisors, LLC independent RIA | Southlake, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2021 |
| 4 | Level Four Advisory Services BD affiliated | Good Life Advisors, LLC independent RIA | Lisle, Il | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2021 |
| 4 | Level Four Advisory Services BD affiliated | Private Advisor Group, LLC BD affiliated | Dallas, Tx +2 | Affiliated broker-dealer or bank to another | Aug 27, 2021 over 4 d |
| 3 | Level Four Advisory Services BD affiliated | Highpoint Advisor Group, LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2021 over 4 d |
| 3 | Level Four Advisory Services BD affiliated | Highpoint Advisor Group, LLC independent RIA | Rosemont, Il +2 | Affiliated broker-dealer or bank to independent RIA | Aug 27, 2021 over 4 d |
| 10 | Level Four Advisory Services BD affiliated | LPL Financial LLC BD affiliated | Dallas, Tx +1 | Affiliated broker-dealer or bank to another | Aug 19, 2021 over 12 d |
| 2 | Level Four Advisory Services BD affiliated | Financial Advocates Investment Management independent RIA | Cody, Wy | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2021 |
| 2 | Level Four Advisory Services BD affiliated | Integrated Wealth Concepts LLC independent RIA | Cody, Wy | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2021 |
| 3 | Level Four Advisory Services BD affiliated | Highpoint Advisor Group, LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2021 over 9 d |
| 2 | Level Four Advisory Services BD affiliated | Pelican Investment Advisors, LLC no RAUM | Baton Rouge, La | Affiliated broker-dealer or bank to a newly registered adviser | May 27, 2021 over 6 d |
| 3 | Level Four Advisory Services BD affiliated | Integrated Wealth Concepts LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | May 25, 2021 |
| 2 | Level Four Advisory Services BD affiliated | Highpoint Advisor Group, LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2021 |
| 2 | Level Four Advisory Services BD affiliated | Highpoint Advisor Group, LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 over 3 d |
| 4 | Level Four Advisory Services BD affiliated | Integrated Wealth Concepts LLC independent RIA | Newport Beach, Ca | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2021 |
| 2 | Level Four Advisory Services BD affiliated | Integrated Wealth Concepts LLC independent RIA | Littleton, Co | Affiliated broker-dealer or bank to independent RIA | Feb 26, 2021 |
| 2 | Level Four Advisory Services BD affiliated | Avantax Advisory Services BD affiliated | Bedford, Tx | Affiliated broker-dealer or bank to another | Oct 31, 2019 |
| 2 | Level Four Advisory Services BD affiliated | Aspen Private Advisors, LLC no RAUM | Dallas, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Oct 2, 2018 |
| 3 | Level Four Advisory Services BD affiliated | Advisor Resource Council independent RIA | Dallas, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Sep 14, 2018 |
| 8 | Level Four Advisory Services BD affiliated | Advisor Resource Council independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2018 |
| 2 | Level Four Advisory Services BD affiliated | Independent Advisor Alliance, LLC independent RIA | Dallas, Tx | Affiliated broker-dealer or bank to independent RIA | Apr 5, 2018 |
| 3 | Level Four Advisory Services other | Park Avenue Securities LLC BD affiliated | Dallas, Tx +1 | Other | Jan 4, 2018 |
| 2 | Level Four Advisory Services other | Independent Financial Partners other | Dallas, Tx | Other | Jul 14, 2017 over 12 d |