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 Capital Investment Advisory Services, 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 | Capital Investment Advisory Services, LLC BD affiliated | Edward Jones national BD | Cary, Nc +1 | Affiliated broker-dealer or bank to another | Mar 5, 2026 over 20 d |
| 4 | Capital Investment Advisory Services, LLC BD affiliated | Sollinda Capital Management LLC asset manager | Hickory, Nc +2 | Other | Dec 26, 2023 |
| 2 | Capital Investment Advisory Services, LLC BD affiliated | Sollinda Capital Management LLC asset manager | Savannah, Ga | Other | Nov 2, 2023 |
| 3 | Capital Investment Advisory Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Rock Hill, Sc | Affiliated broker-dealer or bank to another | Dec 10, 2021 |
| 2 | Capital Investment Advisory Services, LLC other | Osaic Fs, Inc. other | Winstonsalem, Nc | Other | May 16, 2017 |
| 2 | Capital Investment Advisory Services, LLC other | First Citizens Investor Services, Inc. other | Raleigh, Nc | Other | Mar 11, 2016 over 12 d |
| 2 | Capital Investment Advisory Services, LLC other | Raymond James Financial Services Advisors, Inc other | Hickory, Nc | Other | Jun 15, 2015 |