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 Mariner
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 | Mariner independent RIA | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Jan 31, 2020 over 10 d |
| 10 | Mariner independent RIA | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Apr 5, 2018 over 1 d |
| 8 | Mariner independent RIA | MML Investors Services, LLC BD affiliated | Overland Park,, Ks | RIA to affiliated broker-dealer or bank | Apr 5, 2018 |
| 7 | Mariner independent RIA | MML Investors Services, LLC BD affiliated | Boston, Ma +2 | RIA to affiliated broker-dealer or bank | Apr 5, 2018 |
| 2 | Mariner independent RIA | Msi Financial Services, Inc. other | Osterville, Ma +1 | Other | Apr 5, 2018 |
| 2 | Mariner independent RIA | Msi Financial Services, Inc. other | Wellesley, Ma +1 | Other | Feb 1, 2018 |
| 29 | Mariner independent RIA | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Jan 25, 2018 over 7 d |
| 3 | Mariner independent RIA | MML Investors Services, LLC other | Overland Park,, Ks | Other | Jan 25, 2018 |
| 2 | Mariner other | MML Investors Services, LLC other | Overland Park,, Ks | Other | Nov 16, 2017 |
| 4 | Mariner other | MML Investors Services, LLC other | Overland Park,, Ks | Other | Jul 28, 2016 |
| 4 | Mariner other | Msi Financial Services, Inc. other | Overland Park,, Ks | Other | Jul 28, 2016 |
| 2 | Mariner other | Commonwealth Financial Network national BD | Overland Park,, Ks | Other | Jul 28, 2016 over 4 d |