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 Capital One Advisors, 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
4	Capital One Advisors, LLC no RAUM	Sharebuilder 401k no RAUM	Seattle, Wa	Other	Aug 1, 2019
2	Capital One Advisors, LLC no RAUM	Sharebuilder 401k no RAUM	Mclean, Va	Other	Aug 1, 2019
2	Capital One Advisors, LLC no RAUM	J.P. Morgan Securities LLC wirehouse	Mclean, Va	Other	Feb 12, 2019
2	Capital One Advisors, LLC no RAUM	Fidelity Personal And Workplace Advisors BD affiliated	Mclean, Va	Other	Feb 7, 2019 over 5 d
2	Capital One Advisors, LLC BD affiliated	Osaic Fa, Inc. BD affiliated	Mclean, Va	Affiliated broker-dealer or bank to another	Jul 31, 2018 over 2 d
2	Capital One Advisors, LLC BD affiliated	J.P. Morgan Securities LLC wirehouse	Mclean, Va	Affiliated broker-dealer or bank to wirehouse	Jun 15, 2018 over 10 d
2	Capital One Advisors, LLC BD affiliated	Cetera Investment Advisers LLC BD affiliated	Mclean, Va	Affiliated broker-dealer or bank to another	May 3, 2018 over 4 d
5	Capital One Advisors, LLC BD affiliated	J.P. Morgan Securities LLC wirehouse	Mclean, Va	Affiliated broker-dealer or bank to wirehouse	Apr 24, 2018 over 20 d
3	Capital One Advisors, LLC BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Mclean, Va	Affiliated broker-dealer or bank to wirehouse	Apr 23, 2018 over 10 d
2	Capital One Advisors, LLC BD affiliated	Wells Fargo Advisors wirehouse	Seattle, Wa	Affiliated broker-dealer or bank to wirehouse	Apr 20, 2018 over 12 d
6	Capital One Advisors, LLC BD affiliated	Citigroup Global Markets Inc. BD affiliated	Mclean, Va	Affiliated broker-dealer or bank to another	Apr 16, 2018 over 28 d
7	Capital One Advisors, LLC other	LPL Financial LLC independent RIA	Mclean, Va	Other	Mar 27, 2018 over 36 d
2	Capital One Advisors, LLC other	United Brokerage Services Inc other	Mclean, Va	Other	Mar 26, 2018
2	Capital One Advisors, LLC other	United Brokerage Services Inc other	Seattle, Wa	Other	Mar 26, 2018 over 4 d
2	Capital One Advisors, LLC other	LPL Financial LLC independent RIA	Seattle, Wa	Other	Mar 13, 2018 over 14 d
8	Capital One Advisors, LLC other	J.P. Morgan Securities LLC wirehouse	Mclean, Va	Other	Feb 26, 2018 over 42 d
2	Capital One Advisors, LLC other	Edward Jones national BD	Mclean, Va	Other	Jul 18, 2017
2	Capital One Advisors, LLC other	Citigroup Global Markets Inc. other	Mclean, Va	Other	Nov 29, 2016 over 14 d
2	Capital One Advisors, LLC other	Morgan Stanley wirehouse	Seattle, Wa	Other	Jul 12, 2016 over 1 d
2	Capital One Advisors, LLC other	J.P. Morgan Securities LLC wirehouse	Seattle, Wa	Other	Jun 24, 2016 over 4 d
2	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Seattle, Wa	Other	Mar 23, 2016
2	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Seattle, Wa	Other	Feb 22, 2016 over 1 d
3	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Seattle, Wa	Other	Jan 22, 2016 over 5 d
4	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Seattle, Wa	Other	Dec 4, 2015 over 17 d
2	Capital One Advisors, LLC no RAUM	LPL Financial LLC other	Mclean, Va	Other	Dec 3, 2015
2	Capital One Advisors, LLC no RAUM	Newedge Advisors other	Seattle, Wa	Other	Nov 18, 2015
2	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Seattle, Wa	Other	Nov 13, 2015
2	Capital One Advisors, LLC no RAUM	Stratos Wealth Partners, Ltd other	Seattle, Wa	Other	Sep 15, 2015
2	Capital One Advisors, LLC no RAUM	Cetera Investment Advisers LLC other	Seattle, Wa	Other	Jun 5, 2015
2	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. other	Seattle, Wa	Other	Jun 4, 2015
2	Capital One Advisors, LLC no RAUM	Citigroup Global Markets Inc. other	Seattle, Wa	Other	Feb 20, 2015 over 7 d

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31 teams match.derived from registration dates