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 Cetera Advisor Networks LLC
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 |
|---|---|---|---|---|---|
| 10 | Cetera Advisor Networks LLC BD affiliated | Clg LLC independent RIA | Long Beach, Ca +4 | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 |
| 6 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Lake Elmo, Mn +5 | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 |
| 5 | Cetera Advisor Networks LLC BD affiliated | Paul R. Ried Financial Group, LLC independent RIA | Bellevue, Wa +2 | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 |
| 3 | Cetera Advisor Networks LLC BD affiliated | Creative Planning Institutional Advisors, LLC institutional | Newport Beach, Ca +1 | Other | Jun 29, 2023 |
| 3 | Cetera Advisor Networks LLC BD affiliated | Sageview Private Client Group, LLC no RAUM | Knoxville, Tn | Other | Jun 29, 2023 over 1 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC BD affiliated | Cedar Rapids, Ia | Affiliated broker-dealer or bank to another | Jun 29, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC BD affiliated | Austin, Tx +1 | Affiliated broker-dealer or bank to another | Jun 29, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Senior Financial Advisors, Inc. state registered | Bellevue, Wa +1 | Affiliated broker-dealer or bank to a state-registered adviser | Jun 29, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Loudonville, Ny +1 | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 over 1 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cwm, LLC BD affiliated | Dinuba, Ca +1 | Affiliated broker-dealer or bank to another | Jun 16, 2023 over 13 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Hicksville, Ny +1 | Affiliated broker-dealer or bank to another | May 4, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Great Valley Advisor Group, LLC independent RIA | Baldwin, Wi | Affiliated broker-dealer or bank to independent RIA | May 3, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Kissimmee, Fl +1 | Affiliated broker-dealer or bank to another | Apr 27, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Allworth Financial, L.P. BD affiliated | El Segundo, Ca | Affiliated broker-dealer or bank to another | Apr 20, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cole Financial Advisors, Inc. state registered | Provo, Ut | Affiliated broker-dealer or bank to a state-registered adviser | Mar 8, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Wingstem Wealth, LLC state registered | West Columbia, Sc | Affiliated broker-dealer or bank to a state-registered adviser | Feb 21, 2023 |
| 3 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC independent RIA | Livermore, Ca +2 | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2023 over 21 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Prosperity Capital Advisors independent RIA | Smithtown, Ny | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2023 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Omaha, Ne | Affiliated broker-dealer or bank to another | Nov 30, 2022 |
| 4 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC independent RIA | Feasterville, Pa +1 | Affiliated broker-dealer or bank to independent RIA | Nov 28, 2022 over 1 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Columbus, Oh +1 | Affiliated broker-dealer or bank to another | Nov 16, 2022 over 2 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Minnetonka, Mn | Affiliated broker-dealer or bank to independent RIA | Sep 29, 2022 over 14 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC independent RIA | Murray, Ut +1 | Affiliated broker-dealer or bank to independent RIA | Sep 28, 2022 over 19 d |
| 4 | Cetera Advisor Networks LLC BD affiliated | Lakeridge Wealth Management LLC independent RIA | Albuquerque, Nm | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2022 over 6 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC independent RIA | Jefferson, Oh +1 | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2022 over 1 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | Kovack Advisors, Inc. BD affiliated | Adel, Ga | Affiliated broker-dealer or bank to another | Aug 22, 2022 over 1 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | Lakeridge Wealth Management LLC independent RIA | Geneva, Oh +2 | Affiliated broker-dealer or bank to independent RIA | Aug 3, 2022 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Commonwealth Financial Network national BD | West Newbury, Ma | Affiliated broker-dealer or bank to another | Jul 25, 2022 over 1 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Issaquah, Wa +1 | Affiliated broker-dealer or bank to another | Jul 15, 2022 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Casper, Wy | Affiliated broker-dealer or bank to another | Jul 1, 2022 |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC independent RIA | El Segundo, Ca +1 | Affiliated broker-dealer or bank to independent RIA | May 19, 2022 over 1 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC independent RIA | Naperville, Il | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2022 over 3 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | Avantax Advisory Services BD affiliated | Johnstown, Pa +1 | Affiliated broker-dealer or bank to another | Jan 7, 2022 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Polaris Advisors, LLC independent RIA | Framingham, Ma | Affiliated broker-dealer or bank to independent RIA | Dec 14, 2021 |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Melville, Ny +1 | Affiliated broker-dealer or bank to another | Oct 19, 2021 over 13 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | El Segundo, Ca | Affiliated broker-dealer or bank to another | Sep 30, 2021 over 8 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Hilliard, Oh +1 | Affiliated broker-dealer or bank to another | Sep 29, 2021 over 1 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | Walnut Creek Wealth Management independent RIA | Pleasant Hill, Ca +2 | Affiliated broker-dealer or bank to independent RIA | Sep 15, 2021 |
| 3 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Toledo, Oh | Affiliated broker-dealer or bank to another | Sep 1, 2021 over 15 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Corpus Christi, Tx +1 | Affiliated broker-dealer or bank to another | Sep 1, 2021 |
| 9 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Roanoke, Va +3 | Affiliated broker-dealer or bank to another | Aug 27, 2021 over 4 d |
| 4 | Cetera Advisor Networks LLC BD affiliated | Independent Financial Group, LLC BD affiliated | The Woodlands, Tx +3 | Affiliated broker-dealer or bank to another | Aug 12, 2021 over 4 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Lancaster, Oh | Affiliated broker-dealer or bank to another | Jul 30, 2021 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Corpus Christi, Tx | Affiliated broker-dealer or bank to another | Jul 15, 2021 over 13 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | St Louis, Mo | Affiliated broker-dealer or bank to another | Jul 1, 2021 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Profed Financial Advisors state registered | Fort Wayne, In +1 | Affiliated broker-dealer or bank to a state-registered adviser | Jun 7, 2021 |
| 2 | Cetera Advisor Networks LLC BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Ft Wayne, In | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2021 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Minnetonka, Mn | Affiliated broker-dealer or bank to independent RIA | May 14, 2021 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Jra Financial Advisors, Inc. no RAUM | Minnetonka, Mn | Other | May 14, 2021 over 4 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Minnetonka, Mn | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2020 over 2 d |
| 3 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Minneapolis, Mn +1 | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2020 over 9 d |
| 4 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Fairview Park, Oh +1 | Affiliated broker-dealer or bank to another | Sep 28, 2020 |
| 3 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | South Burlington, Vt +2 | Affiliated broker-dealer or bank to another | Sep 18, 2020 over 3 d |
| 7 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Minnetonka, Mn | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2020 |
| 4 | Cetera Advisor Networks LLC BD affiliated | The Ameriflex Group independent RIA | Fullerton, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Aug 11, 2020 over 2 d |
| 4 | Cetera Advisor Networks LLC BD affiliated | Valmark Advisers, Inc. mixed wealth | Cincinnati, Oh | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2020 |
| 3 | Cetera Advisor Networks LLC BD affiliated | Keystone Financial Services, LLC independent RIA | Omaha, Ne | Affiliated broker-dealer or bank to independent RIA | Jun 30, 2020 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | St Cloud, Mn +1 | Affiliated broker-dealer or bank to another | Apr 21, 2020 over 3 d |
| 2 | Cetera Advisor Networks LLC BD affiliated | LPL Financial LLC BD affiliated | Roseville, Ca | Affiliated broker-dealer or bank to another | Jan 16, 2020 |
| 2 | Cetera Advisor Networks LLC BD affiliated | Advisornet Wealth Partners independent RIA | Minnetonka, Mn +1 | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 |
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119 teams match.derived from registration dates