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 First Allied Advisory Services, 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
7	First Allied Advisory Services, Inc. BD affiliated	Lifestyle Asset Management, Inc. independent RIA	Texas City, Tx +2	Affiliated broker-dealer or bank to independent RIA	Nov 12, 2020
4	First Allied Advisory Services, Inc. BD affiliated	Premier Wealth Advisors, LLC independent RIA	New York, Ny	Affiliated broker-dealer or bank to independent RIA	Nov 12, 2020
3	First Allied Advisory Services, Inc. BD affiliated	Ridge Capital Management, LLC independent RIA	Woodstock, Ga +2	Affiliated broker-dealer or bank to independent RIA	Nov 12, 2020
2	First Allied Advisory Services, Inc. BD affiliated	Presidio Capital Management, LLC independent RIA	San Diego, Ca	Affiliated broker-dealer or bank to independent RIA	Nov 12, 2020
2	First Allied Advisory Services, Inc. BD affiliated	Cambridge Investment Research Advisors, Inc. BD affiliated	Steubenville, Oh	Affiliated broker-dealer or bank to another	Nov 3, 2020 over 1 d
2	First Allied Advisory Services, Inc. BD affiliated	LPL Financial LLC BD affiliated	West St Paul, Mn +1	Affiliated broker-dealer or bank to another	Jun 15, 2020 over 1 d
3	First Allied Advisory Services, Inc. BD affiliated	Peterson Wealth Management, LLC independent RIA	Carson City, Nv +1	Affiliated broker-dealer or bank to independent RIA	Dec 20, 2019
3	First Allied Advisory Services, Inc. BD affiliated	Robertson Investment Management independent RIA	Houston, Tx +1	Affiliated broker-dealer or bank to independent RIA	Nov 22, 2019 over 3 d
2	First Allied Advisory Services, Inc. BD affiliated	Perigon Wealth Management, LLC independent RIA	Rancho Santa Fe, Ca	Affiliated broker-dealer or bank to independent RIA	May 24, 2019
2	First Allied Advisory Services, Inc. BD affiliated	Altum Wealth Advisors no RAUM	San Francisco, Ca	Affiliated broker-dealer or bank to a newly registered adviser	May 20, 2019 over 14 d
2	First Allied Advisory Services, Inc. BD affiliated	Mutual Advisors, LLC BD affiliated	El Segundo, Ca	Affiliated broker-dealer or bank to another	May 6, 2019
2	First Allied Advisory Services, Inc. BD affiliated	LPL Financial LLC independent RIA	San Diego, Ca	Affiliated broker-dealer or bank to independent RIA	Sep 25, 2018 over 2 d
2	First Allied Advisory Services, Inc. BD affiliated	LPL Financial LLC independent RIA	Hawthrone, Ny +1	Affiliated broker-dealer or bank to independent RIA	Jul 27, 2018 over 3 d
2	First Allied Advisory Services, Inc. BD affiliated	Ameriprise Financial Services, LLC national BD	Manitowoc, Wi +1	Affiliated broker-dealer or bank to another	Apr 20, 2018 over 3 d
2	First Allied Advisory Services, Inc. other	Creative Financial Designs, Inc. other	Urbana, Il +1	Other	Feb 27, 2018 over 1 d
2	First Allied Advisory Services, Inc. other	Castle Rock Wealth Management, LLC other	Suite , Ca +1	Other	Feb 13, 2018
2	First Allied Advisory Services, Inc. other	Independent Financial Group, LLC other	San Luis Obispo, Ca +1	Other	Sep 21, 2017
2	First Allied Advisory Services, Inc. other	Cw Advisors, LLC no RAUM	Mesa, Az	Other	May 16, 2017
3	First Allied Advisory Services, Inc. other	J. W. Cole Advisors, Inc. other	Glastonbury, Ct	Other	Mar 9, 2017 over 4 d
2	First Allied Advisory Services, Inc. other	Sagepoint Financial, Inc. other	Middletown, De +1	Other	Jan 27, 2017
2	First Allied Advisory Services, Inc. other	Securities America Advisors, Inc. other	River Falls, Wi	Other	Nov 17, 2016
2	First Allied Advisory Services, Inc. other	The Strategic Financial Alliance other	Greensboro, Nc	Other	May 11, 2016
4	First Allied Advisory Services, Inc. other	Securities America Advisors, Inc. other	Grand Rapids, Mi +1	Other	May 6, 2016 over 18 d
2	First Allied Advisory Services, Inc. other	Seaside Wealth Management, Inc. other	Carlsbad, Ca	Other	Apr 6, 2016
2	First Allied Advisory Services, Inc. other	International Assets Investment Management, LLC other	Toms River, Nj	Other	Mar 11, 2016
7	First Allied Advisory Services, Inc. other	Diversify Advisory Services, LLC BD affiliated	San Jose, Ca +1	Other	Dec 21, 2015
2	First Allied Advisory Services, Inc. other	National Planning Corporation ("Npc Of America" In Fl & Ny) other	Orange, Ca	Other	Oct 23, 2015
2	First Allied Advisory Services, Inc. other	Integrated Advisors Network LLC no RAUM	Round Rock, Tx	Other	Jul 16, 2015
2	First Allied Advisory Services, Inc. other	Advantage Wealth Advisors independent RIA	Alamo, Ca	Other	Apr 2, 2015
2	First Allied Advisory Services, Inc. other	Independent Financial Group, LLC other	Reno, Nv	Other	Jan 5, 2015

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30 teams match.derived from registration dates