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 Foresters 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 |
|---|---|---|---|---|---|
| 2 | Foresters Advisory Services, LLC BD affiliated | MML Investors Services, LLC BD affiliated | Pearl River, Ny +1 | Affiliated broker-dealer or bank to another | Jun 7, 2019 over 13 d |
| 3 | Foresters Advisory Services, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Phoenix, Az | Affiliated broker-dealer or bank to another | Jun 6, 2019 over 1 d |
| 2 | Foresters Advisory Services, LLC BD affiliated | LPL Financial LLC independent RIA | Monrovia, Ca +1 | Affiliated broker-dealer or bank to independent RIA | May 21, 2019 over 8 d |
| 2 | Foresters Advisory Services, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Monrovia, Ca +1 | Affiliated broker-dealer or bank to another | May 20, 2019 |
| 5 | Foresters Advisory Services, LLC BD affiliated | LPL Financial LLC independent RIA | Beaverton, Or | Affiliated broker-dealer or bank to independent RIA | Mar 29, 2019 |
| 2 | Foresters Advisory Services, LLC BD affiliated | Commonwealth Financial Network national BD | Independence, Oh | Affiliated broker-dealer or bank to another | Feb 15, 2019 |
| 2 | Foresters Advisory Services, LLC BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Sunrise, Fl | Affiliated broker-dealer or bank to another | Feb 4, 2019 |
| 3 | Foresters Advisory Services, LLC BD affiliated | LPL Financial LLC independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2018 |
| 2 | Foresters Advisory Services, LLC BD affiliated | Cri Securities, LLC BD affiliated | San Antonio, Tx | Affiliated broker-dealer or bank to another | Aug 2, 2018 |
| 3 | Foresters Advisory Services, LLC BD affiliated | LPL Financial LLC independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Jul 24, 2018 |
| 3 | Foresters Advisory Services, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | May 11, 2018 |
| 3 | Foresters Advisory Services, LLC BD affiliated | Kestra Advisory Services, LLC BD affiliated | San Diego, Ca | Affiliated broker-dealer or bank to another | May 2, 2018 |
| 2 | Foresters Advisory Services, LLC other | Waddell & Reed other | Monrovia, Ca | Other | Feb 27, 2018 |
| 2 | Foresters Advisory Services, LLC other | Raymond James Financial Services Advisors, Inc BD affiliated | Beaverton, Or | Other | Jan 30, 2018 |
| 2 | Foresters Advisory Services, LLC other | Raymond James Financial Services Advisors, Inc other | Beaverton, Or | Other | May 23, 2016 |