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 Ic 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 |
|---|---|---|---|---|---|
| 3 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Princeton, Nj +1 | Affiliated broker-dealer or bank to another | Feb 3, 2025 over 2 d |
| 4 | Ic Advisory Services, Inc. BD affiliated | Spc BD affiliated | Cedar Knolls, Nj +2 | Affiliated broker-dealer or bank to another | Jan 29, 2025 |
| 2 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Dec 16, 2024 |
| 3 | Ic Advisory Services, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Chester, Nj +1 | Affiliated broker-dealer or bank to another | Dec 13, 2024 |
| 3 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Nov 19, 2024 over 2 d |
| 2 | Ic Advisory Services, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Sarasota, Fl | Affiliated broker-dealer or bank to another | Nov 19, 2024 |
| 2 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Fountainville, Pa | Affiliated broker-dealer or bank to another | Nov 12, 2024 |
| 4 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Nov 4, 2024 |
| 2 | Ic Advisory Services, Inc. BD affiliated | Sowell Management independent RIA | La Plata, Md | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2024 |
| 2 | Ic Advisory Services, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Feb 13, 2020 |
| 2 | Ic Advisory Services, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Bedminster, Nj | Affiliated broker-dealer or bank to another | Apr 17, 2018 |
| 4 | Ic Advisory Services, Inc. other | United Capital Financial Advisors other | Bedminster, Nj | Other | Jul 21, 2015 over 1 d |