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 Osaic 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 |
|---|---|---|---|---|---|
| 3 | Osaic Advisory Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | El Paso, Tx | Affiliated broker-dealer or bank to another | Sep 3, 2026 |
| 2 | Osaic Advisory Services, LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Sep 3, 2026 |
| 2 | Osaic Advisory Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Oct 3, 2025 over 11 d |
| 2 | Osaic Advisory Services, LLC BD affiliated | Prestige Wealth Management independent RIA | Southlake, Tx | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2025 |
| 2 | Osaic Advisory Services, LLC BD affiliated | The Bycoff Group LLC other | Atlanta, Ga | Other | Aug 7, 2025 |
| 2 | Osaic Advisory Services, LLC BD affiliated | Commonwealth Financial Network national BD | Atlanta, Ga | Affiliated broker-dealer or bank to another | May 28, 2025 |
| 3 | Osaic Advisory Services, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | May 7, 2025 |
| 2 | Osaic Advisory Services, LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | West Chester, Pa | Affiliated broker-dealer or bank to another | May 7, 2025 |
| 2 | Osaic Advisory Services, LLC BD affiliated | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Oak Brook, Il | Affiliated broker-dealer or bank to another | Apr 15, 2025 |
| 3 | Osaic Advisory Services, LLC BD affiliated | Strategic Blueprint, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2025 over 6 d |
| 2 | Osaic Advisory Services, LLC BD affiliated | Strategic Blueprint, LLC independent RIA | Clemmons, Nc +1 | Affiliated broker-dealer or bank to independent RIA | Feb 12, 2025 |
| 3 | Osaic Advisory Services, LLC BD affiliated | Viaquest Advisors LLC no RAUM | Atlanta, Ga | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2024 |
| 8 | Osaic Advisory Services, LLC BD affiliated | Ausdal Financial Partners, Inc. independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Dec 5, 2024 over 12 d |
| 2 | Osaic Advisory Services, LLC BD affiliated | Vestgen Advisors, LLC independent RIA | South Barrington, Il | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2024 over 1 d |
| 7 | Osaic Advisory Services, LLC BD affiliated | Vestgen Advisors, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Nov 8, 2024 over 13 d |
| 8 | Osaic Advisory Services, LLC BD affiliated | Stonebridge Financial Group, LLC no RAUM | Atlanta, Ga | Affiliated broker-dealer or bank to a newly registered adviser | Feb 2, 2024 over 3 d |
| 2 | Osaic Advisory Services, LLC BD affiliated | Stonebridge Financial Group, LLC no RAUM | Wormleysburg, Pa | Affiliated broker-dealer or bank to a newly registered adviser | Feb 2, 2024 |
| 6 | Osaic Advisory Services, LLC BD affiliated | Stonebridge Financial Group, LLC no RAUM | Atlanta, Ga | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2023 |
| 3 | Osaic Advisory Services, LLC BD affiliated | LPL Financial LLC BD affiliated | Atlanta, Ga | Affiliated broker-dealer or bank to another | Dec 1, 2023 |
| 3 | Osaic Advisory Services, LLC BD affiliated | Guardian Wealth Advisors, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2021 |
| 2 | Osaic Advisory Services, LLC BD affiliated | Arkadios Wealth Advisors independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2020 over 7 d |
| 2 | Osaic Advisory Services, LLC BD affiliated | Northstar Advisory Group, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2020 over 5 d |
| 2 | Osaic Advisory Services, LLC other | Cetera Advisor Networks LLC other | Atlanta, Ga | Other | Nov 11, 2016 |