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 Advantage Investment 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 |
|---|---|---|---|---|---|
| 4 | Advantage Investment Management, LLC independent RIA | Private Advisor Group, LLC independent RIA | Cedar Rapids, Ia +1 | RIA to RIA | Dec 31, 2019 |
| 3 | Advantage Investment Management, LLC independent RIA | Private Advisor Group, LLC independent RIA | West Lafayette, In +1 | RIA to RIA | Dec 31, 2019 |
| 2 | Advantage Investment Management, LLC independent RIA | Sequoia Wealth Management, LLC independent RIA | Sheffiled Village, Oh +1 | RIA to RIA | Oct 2, 2019 |
| 2 | Advantage Investment Management, LLC independent RIA | Mas Advisors LLC institutional | Cordova, Tn | Other | Sep 30, 2019 |
| 4 | Advantage Investment Management, LLC independent RIA | Souders Financial Advisors, LLC independent RIA | Springfield, Oh +1 | RIA to RIA | Aug 20, 2019 |
| 5 | Advantage Investment Management, LLC independent RIA | Souders Financial Advisors, LLC no RAUM | Cincinnati, Oh | RIA to a newly registered adviser | Jun 11, 2018 over 3 d |
| 3 | Advantage Investment Management, LLC independent RIA | LPL Financial LLC independent RIA | Cincinnati, Oh | RIA to RIA | Jun 11, 2018 |
| 3 | Advantage Investment Management, LLC independent RIA | Commonwealth Financial Network national BD | Southgate, Mi | RIA to affiliated broker-dealer or bank | May 15, 2018 |
| 3 | Advantage Investment Management, LLC other | Cambridge Investment Research Advisors, Inc. other | Anderson, Sc +1 | Other | Jan 2, 2018 |