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 Independent Advisor Alliance, 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 |
|---|---|---|---|---|---|
| 3 | Independent Advisor Alliance, LLC independent RIA | Cetera Investment Advisers LLC BD affiliated | Rock Hill, Sc | RIA to affiliated broker-dealer or bank | Aug 12, 2026 |
| 4 | Independent Advisor Alliance, LLC other | Corevision Financial Group independent RIA | Knoxville, Tn +1 | Other | Mar 4, 2026 |
| 2 | Independent Advisor Alliance, LLC other | Gateway Wealth Partners, LLC independent RIA | Montgomery, Al | Other | Aug 21, 2025 |
| 2 | Independent Advisor Alliance, LLC other | Cypress Capital no RAUM | Tallahassee, Fl | Other | May 23, 2025 |
| 2 | Independent Advisor Alliance, LLC independent RIA | Beacon Capital Advisory Group no RAUM | Charlotte, Nc +1 | RIA to a newly registered adviser | Oct 21, 2024 over 4 d |
| 3 | Independent Advisor Alliance, LLC independent RIA | Moneco Advisors independent RIA | Harrison, Ny | RIA to RIA | Oct 3, 2024 |
| 3 | Independent Advisor Alliance, LLC independent RIA | Mfp Financial Services, LLC no RAUM | Dunedin, Fl | RIA to a newly registered adviser | Aug 2, 2024 |
| 2 | Independent Advisor Alliance, LLC independent RIA | Topsail Wealth Management LLC no RAUM | Charlotte, Nc | RIA to a newly registered adviser | Jul 1, 2024 |
| 3 | Independent Advisor Alliance, LLC independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | Concord, Nc | RIA to affiliated broker-dealer or bank | May 29, 2024 |
| 3 | Independent Advisor Alliance, LLC independent RIA | Founders Financial Alliance, LLC independent RIA | Cary, Nc +1 | RIA to RIA | Mar 15, 2024 |
| 4 | Independent Advisor Alliance, LLC independent RIA | Family Wealth Partners, LLC no RAUM | Matthews, Nc | RIA to a newly registered adviser | Jan 26, 2022 |
| 3 | Independent Advisor Alliance, LLC independent RIA | Generouswealth, LLC independent RIA | Summerville, Sc | RIA to RIA | Sep 22, 2020 |
| 2 | Independent Advisor Alliance, LLC independent RIA | Osaic Wealth, Inc. BD affiliated | Charlotte, Nc | RIA to affiliated broker-dealer or bank | Apr 16, 2020 |
| 3 | Independent Advisor Alliance, LLC independent RIA | Summit Financial Group Inc BD affiliated | Greensboro, Nc | RIA to affiliated broker-dealer or bank | Nov 27, 2019 |
| 2 | Independent Advisor Alliance, LLC independent RIA | Prudeo Partners, LLC independent RIA | Reading, Pa | RIA to RIA | Nov 27, 2019 |
| 2 | Independent Advisor Alliance, LLC other | Great Valley Advisor Group, LLC other | Rock Hill, Sc | Other | Aug 1, 2016 |
| 3 | Independent Advisor Alliance, LLC other | Level Four Advisory Services other | Roanoke, Va | Other | Apr 30, 2015 |