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 First Financial Equity Corporation
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 | First Financial Equity Corporation BD affiliated | Foundations Investment Advisors LLC independent RIA | Scottsdale, Az | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2022 over 3 d |
| 3 | First Financial Equity Corporation BD affiliated | Cetera Advisor Networks LLC BD affiliated | Scottsdale, Az | Affiliated broker-dealer or bank to another | Apr 20, 2022 |
| 5 | First Financial Equity Corporation BD affiliated | LPL Financial LLC independent RIA | Greenwood Village, Co | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 |
| 4 | First Financial Equity Corporation BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Glendale, Az +1 | Affiliated broker-dealer or bank to another | Apr 1, 2022 |
| 2 | First Financial Equity Corporation BD affiliated | Mariner Advisor Network independent RIA | Scottsdale, Az | Affiliated broker-dealer or bank to independent RIA | Mar 10, 2022 |
| 5 | First Financial Equity Corporation BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Scottsdale, Az +1 | Affiliated broker-dealer or bank to independent RIA | Feb 28, 2022 over 7 d |
| 3 | First Financial Equity Corporation BD affiliated | Balboa Wealth Partners, Inc. independent RIA | Tucson, Az +1 | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2022 |
| 2 | First Financial Equity Corporation BD affiliated | Cwm, LLC independent RIA | Burleson, Tx | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2018 |
| 2 | First Financial Equity Corporation other | Dl Wealth Management Group state registered | San Diego, Ca | Other | Jan 5, 2018 |
| 2 | First Financial Equity Corporation other | Whipplewood Advisors, LLC independent RIA | Greenwood Village, Co | Other | Feb 5, 2016 |