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 Cwm, 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 | Cwm, LLC BD affiliated | Exceptional Wealth & Family Office independent RIA | Colorado Springs, Co | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2026 |
| 3 | Cwm, LLC BD affiliated | Trillium Wealth LLC no RAUM | Omaha, Ne | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2026 |
| 2 | Cwm, LLC BD affiliated | Trillium Wealth LLC no RAUM | Yorkville, Il | Affiliated broker-dealer or bank to a newly registered adviser | May 1, 2026 |
| 2 | Cwm, LLC BD affiliated | Inspire Advisors, LLC independent RIA | Statesville, Nc +1 | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2025 |
| 2 | Cwm, LLC BD affiliated | Newedge Advisors BD affiliated | Okemos, Mi | Affiliated broker-dealer or bank to another | Dec 15, 2025 |
| 2 | Cwm, LLC BD affiliated | Mariner Independent independent RIA | Omaha, Ne | Affiliated broker-dealer or bank to independent RIA | Sep 22, 2025 |
| 2 | Cwm, LLC BD affiliated | Integrated Wealth Concepts LLC independent RIA | Creve Coeur, Mo | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2025 |
| 2 | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Oct 17, 2024 |
| 5 | Cwm, LLC BD affiliated | Newedge Advisors BD affiliated | Troy, Mi +2 | Affiliated broker-dealer or bank to another | Jun 6, 2024 over 1 d |
| 2 | Cwm, LLC BD affiliated | Cetera Advisor Networks LLC BD affiliated | Grand Rapids, Mi +1 | Affiliated broker-dealer or bank to another | Jun 6, 2024 |
| 4 | Cwm, LLC BD affiliated | Newedge Advisors BD affiliated | Milldale, Ct | Affiliated broker-dealer or bank to another | Dec 31, 2023 |
| 4 | Cwm, LLC BD affiliated | Newedge Advisors BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Dec 31, 2023 |
| 2 | Cwm, LLC BD affiliated | Price Financial Group Wealth Management, Inc. no RAUM | Omaha, Ne | Affiliated broker-dealer or bank to a newly registered adviser | Oct 4, 2022 |
| 3 | Cwm, LLC BD affiliated | LPL Financial LLC BD affiliated | San Diego, Ca | Affiliated broker-dealer or bank to another | Dec 8, 2020 |
| 3 | Cwm, LLC BD affiliated | Destiny Family Office no RAUM | Winter Park, Fl +2 | Affiliated broker-dealer or bank to a newly registered adviser | Jul 1, 2020 |
| 2 | Cwm, LLC other | Money Concepts Advisory Service other | Springfield, Il | Other | Dec 19, 2016 |