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 Concorde Asset Management, 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 |
|---|---|---|---|---|---|
| 2 | Concorde Asset Management, LLC BD affiliated | Signature Equity Partners, LLC independent RIA | Ann Arbor, Mi | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2026 |
| 2 | Concorde Asset Management, LLC BD affiliated | Secure Asset Management, L.L.C. independent RIA | Ann Arbor, Mi | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 |
| 2 | Concorde Asset Management, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Ann Arbor, Mi | Affiliated broker-dealer or bank to another | Aug 23, 2019 |
| 3 | Concorde Asset Management, LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Ann Arbor, Mi | Affiliated broker-dealer or bank to another | Jul 30, 2019 |
| 2 | Concorde Asset Management, LLC other | Lasalle St. Investment Advisors, L.L.C. other | Ann Arbor, Mi | Other | Sep 23, 2016 over 7 d |
| 2 | Concorde Asset Management, LLC other | Mid Atlantic Financial Management, Inc. other | Worthington, Oh +1 | Other | May 22, 2015 over 7 d |