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 Advisor Resource Council
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 | Advisor Resource Council independent RIA | Independent Advisor Alliance, LLC other | Metairie, La | Other | May 30, 2025 |
| 10 | Advisor Resource Council independent RIA | Second Line Capital, LLC no RAUM | Dallas, Tx | RIA to a newly registered adviser | May 18, 2023 over 13 d |
| 3 | Advisor Resource Council independent RIA | Second Line Capital, LLC no RAUM | Metairie, La | RIA to a newly registered adviser | May 18, 2023 |
| 2 | Advisor Resource Council BD affiliated | Kestra Advisory Services, LLC BD affiliated | Dallas, Tx | Affiliated broker-dealer or bank to another | Aug 16, 2021 |
| 2 | Advisor Resource Council independent RIA | Ameriprise Financial Services, LLC national BD | Frisco, Tx | RIA to affiliated broker-dealer or bank | Jan 11, 2019 |
| 5 | Advisor Resource Council other | Pax Financial Group no RAUM | Dallas, Tx | Other | Sep 14, 2016 |