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 Arbor Point Advisors
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 | Arbor Point Advisors BD affiliated | Echelon Group no RAUM | Boise, Id | Affiliated broker-dealer or bank to a newly registered adviser | Nov 8, 2024 |
| 2 | Arbor Point Advisors BD affiliated | Foothill Securities, Inc. other | San Ramon, Ca | Other | Nov 8, 2024 |
| 5 | Arbor Point Advisors BD affiliated | Allworth Financial, L.P. BD affiliated | Vancouver, Wa | Affiliated broker-dealer or bank to another | Nov 5, 2024 over 2 d |
| 2 | Arbor Point Advisors BD affiliated | Allworth Financial, L.P. BD affiliated | Portland, Or | Affiliated broker-dealer or bank to another | Nov 5, 2024 over 2 d |
| 2 | Arbor Point Advisors BD affiliated | LPL Financial LLC BD affiliated | Longwood, Fl | Affiliated broker-dealer or bank to another | Aug 2, 2024 over 4 d |
| 4 | Arbor Point Advisors BD affiliated | LPL Financial LLC BD affiliated | Spokane, Wa +1 | Affiliated broker-dealer or bank to another | May 21, 2024 over 1 d |
| 2 | Arbor Point Advisors BD affiliated | Cooper Mcmanus independent RIA | Overland Park, Ks | Affiliated broker-dealer or bank to independent RIA | May 1, 2024 |
| 6 | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Parkersburg, Wv +1 | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 over 4 d |
| 3 | Arbor Point Advisors BD affiliated | Commonwealth Financial Services no RAUM | Marietta, Oh +2 | Affiliated broker-dealer or bank to a newly registered adviser | Apr 6, 2023 over 4 d |
| 9 | Arbor Point Advisors BD affiliated | Syntegra Private Wealth Group LLC independent RIA | Chesterfield, Mo +2 | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2022 |
| 7 | Arbor Point Advisors BD affiliated | Goldstein Advisors, LLC no RAUM | Middleton, Wi | Affiliated broker-dealer or bank to a newly registered adviser | Nov 30, 2022 over 1 d |
| 2 | Arbor Point Advisors BD affiliated | Allworth Financial, L.P. BD affiliated | Riverwoods, Il | Affiliated broker-dealer or bank to another | Aug 16, 2022 |
| 3 | Arbor Point Advisors BD affiliated | Commonwealth Financial Network national BD | Santa Rosa, Ca | Affiliated broker-dealer or bank to another | Jul 25, 2022 |
| 2 | Arbor Point Advisors BD affiliated | Clear Creek Financial Management, LLC independent RIA | Meridian, Id | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2021 |
| 5 | Arbor Point Advisors BD affiliated | O'Hagan Group, Inc. no RAUM | Bethlehem, Pa | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2021 |
| 4 | Arbor Point Advisors BD affiliated | Aspire Capital Advisors LLC independent RIA | Kirkland, Wa +1 | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2021 over 5 d |
| 2 | Arbor Point Advisors BD affiliated | Retirement Planning Group, LLC no RAUM | Malta, Ny | Affiliated broker-dealer or bank to a newly registered adviser | Jan 5, 2021 |
| 2 | Arbor Point Advisors BD affiliated | River Wealth Management LLC state registered | Independence, Oh | Affiliated broker-dealer or bank to a state-registered adviser | Jun 1, 2020 |
| 4 | Arbor Point Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Independence, Oh +1 | Affiliated broker-dealer or bank to another | May 12, 2020 over 2 d |
| 2 | Arbor Point Advisors BD affiliated | Rfg Advisory, LLC independent RIA | Williamstown, Ky | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2019 over 1 d |