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 Mutual Advisors, 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 | Mutual Advisors, LLC BD affiliated | Gps Investments no RAUM | Omaha, Ne | Affiliated broker-dealer or bank to a newly registered adviser | Dec 19, 2024 |
| 2 | Mutual Advisors, LLC BD affiliated | LPL Financial LLC BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Dec 3, 2024 |
| 2 | Mutual Advisors, LLC BD affiliated | Planwiser Financial no RAUM | Colorado Springs, Co | Affiliated broker-dealer or bank to a newly registered adviser | Sep 16, 2024 |
| 3 | Mutual Advisors, LLC BD affiliated | Mariner Independent independent RIA | Annapolis, Md | Affiliated broker-dealer or bank to independent RIA | Mar 13, 2024 |
| 2 | Mutual Advisors, LLC BD affiliated | Sagepoint Financial, Inc. BD affiliated | Cedarburg, Wi | Affiliated broker-dealer or bank to another | Dec 21, 2021 |
| 2 | Mutual Advisors, LLC BD affiliated | Advisory Alpha, LLC mixed wealth | Camarillo, Ca +1 | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2021 |
| 2 | Mutual Advisors, LLC BD affiliated | Kapela state registered | San Antonio, Tx | Affiliated broker-dealer or bank to a state-registered adviser | Sep 2, 2020 |
| 5 | Mutual Advisors, LLC BD affiliated | Catalyst Private Wealth, LLC no RAUM | San Francisco, Ca | Affiliated broker-dealer or bank to a newly registered adviser | Sep 30, 2019 |