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 Cuna Brokerage 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 |
|---|---|---|---|---|---|
| 4 | Cuna Brokerage Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Parkersburg, Ia +3 | Affiliated broker-dealer or bank to another | Mar 30, 2023 |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | LPL Financial LLC independent RIA | Waverly, Ia | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2022 |
| 4 | Cuna Brokerage Services, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Henrico, Va +3 | Affiliated broker-dealer or bank to another | May 17, 2022 over 13 d |
| 4 | Cuna Brokerage Services, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Santa Ana, Ca +2 | Affiliated broker-dealer or bank to another | Apr 21, 2022 over 14 d |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | East Amherst, Ny +1 | Affiliated broker-dealer or bank to another | Mar 2, 2022 over 2 d |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Louisville, Ky +1 | Affiliated broker-dealer or bank to another | Feb 21, 2022 |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | LPL Financial LLC BD affiliated | Stockton, Ca | Affiliated broker-dealer or bank to another | Dec 6, 2021 over 3 d |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Boulder City, Nv | Affiliated broker-dealer or bank to another | Dec 3, 2021 |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Wadsworth, Tx +1 | Affiliated broker-dealer or bank to another | Oct 5, 2021 |
| 14 | Cuna Brokerage Services, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Live Oak, Tx +5 | Affiliated broker-dealer or bank to another | Aug 30, 2021 over 3 d |
| 5 | Cuna Brokerage Services, Inc. BD affiliated | Cuso Financial Services, L.P. BD affiliated | Shelby, Nc +4 | Affiliated broker-dealer or bank to another | Jul 12, 2019 over 6 d |
| 2 | Cuna Brokerage Services, Inc. BD affiliated | Edward Jones national BD | Dayton, Oh | Affiliated broker-dealer or bank to another | May 6, 2019 |
| 2 | Cuna Brokerage Services, Inc. other | Invest Financial Corporation other | Moline, Il | Other | Oct 1, 2015 over 5 d |
| 3 | Cuna Brokerage Services, Inc. other | Cuso Financial Services, L.P. other | Clearfield, Ut +2 | Other | Jan 14, 2015 |