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 Td Private Client Wealth 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 | Td Private Client Wealth LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Scotch Plains, Nj +1 | Affiliated broker-dealer or bank to another | Apr 16, 2026 over 1 d |
| 2 | Td Private Client Wealth LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Jan 31, 2025 |
| 4 | Td Private Client Wealth LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | New York, Ny +2 | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2024 over 28 d |
| 2 | Td Private Client Wealth LLC BD affiliated | LPL Financial LLC BD affiliated | New York, Ny | Affiliated broker-dealer or bank to another | Jul 28, 2023 over 14 d |
| 2 | Td Private Client Wealth LLC BD affiliated | Wells Fargo Advisors wirehouse | Princeton, Nj | Affiliated broker-dealer or bank to wirehouse | Apr 21, 2022 |
| 2 | Td Private Client Wealth LLC BD affiliated | Wells Fargo Advisors wirehouse | Princeton, Nj | Affiliated broker-dealer or bank to wirehouse | Mar 17, 2022 |
| 3 | Td Private Client Wealth LLC BD affiliated | William Blair & Company L.L.C. BD affiliated | Hartford, Ct +1 | Affiliated broker-dealer or bank to another | Oct 26, 2021 |
| 2 | Td Private Client Wealth LLC BD affiliated | American Portfolios Advisors, Inc independent RIA | Melville, Ny | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2019 |