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 Cantella & Co., 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 |
|---|---|---|---|---|---|
| 9 | Cantella & Co., Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Malden, Ma | Affiliated broker-dealer or bank to another | Apr 27, 2023 over 15 d |
| 21 | Cantella & Co., Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Malden, Ma +1 | Affiliated broker-dealer or bank to another | Apr 3, 2023 over 8 d |
| 5 | Cantella & Co., Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Malden, Ma | Affiliated broker-dealer or bank to another | Jan 31, 2023 over 14 d |
| 3 | Cantella & Co., Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Nov 15, 2022 |
| 2 | Cantella & Co., Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Gainesville, Ga | Affiliated broker-dealer or bank to another | Nov 3, 2022 |
| 2 | Cantella & Co., Inc. BD affiliated | LPL Financial LLC independent RIA | Woodbury, Ny | Affiliated broker-dealer or bank to independent RIA | Oct 26, 2022 over 12 d |
| 2 | Cantella & Co., Inc. BD affiliated | LPL Financial LLC independent RIA | Florence, Sc | Affiliated broker-dealer or bank to independent RIA | Oct 26, 2022 over 12 d |
| 2 | Cantella & Co., Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Malden, Ma | Affiliated broker-dealer or bank to another | Oct 20, 2022 over 8 d |
| 2 | Cantella & Co., Inc. BD affiliated | LPL Financial LLC independent RIA | Concord Township, Oh | Affiliated broker-dealer or bank to independent RIA | Oct 18, 2022 over 2 d |
| 2 | Cantella & Co., Inc. BD affiliated | Level Four Advisory Services BD affiliated | Williamsburg, Va | Affiliated broker-dealer or bank to another | Oct 6, 2022 |
| 2 | Cantella & Co., Inc. BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Saratoga Springs, Ny | Affiliated broker-dealer or bank to another | Oct 6, 2022 |
| 2 | Cantella & Co., Inc. BD affiliated | LPL Financial LLC independent RIA | Costa Mesa, Ca | Affiliated broker-dealer or bank to independent RIA | Sep 23, 2022 |
| 3 | Cantella & Co., Inc. BD affiliated | Independent Financial Group, LLC independent RIA | Irvine, Ca | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2020 |
| 2 | Cantella & Co., Inc. BD affiliated | Gwn Securities Inc. BD affiliated | Vandalia, Oh | Affiliated broker-dealer or bank to another | Jul 18, 2019 |
| 2 | Cantella & Co., Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Pasadena, Ca | Affiliated broker-dealer or bank to another | Jun 17, 2019 |