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 The Patriot Financial Group, 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 |
|---|---|---|---|---|---|
| 7 | The Patriot Financial Group, LLC independent RIA | Summit Financial, LLC BD affiliated | West Warwick, Ri +2 | RIA to affiliated broker-dealer or bank | Jul 3, 2025 over 5 d |
| 3 | The Patriot Financial Group, LLC independent RIA | Summit Financial, LLC BD affiliated | Walpole, Ma | RIA to affiliated broker-dealer or bank | Jul 3, 2025 over 5 d |
| 2 | The Patriot Financial Group, LLC independent RIA | Apex Investment Group no RAUM | Walpole, Ma | RIA to a newly registered adviser | Jan 30, 2025 |
| 2 | The Patriot Financial Group, LLC independent RIA | Bay Colony Advisors independent RIA | Walpole, Ma | RIA to RIA | Dec 11, 2023 over 1 d |
| 2 | The Patriot Financial Group, LLC independent RIA | Savior Wealth independent RIA | Westborough, Ma +1 | RIA to RIA | Sep 27, 2023 |
| 4 | The Patriot Financial Group, LLC independent RIA | Securities America Advisors, Inc. BD affiliated | Walpole, Ma +2 | RIA to affiliated broker-dealer or bank | Jan 27, 2023 over 14 d |
| 2 | The Patriot Financial Group, LLC independent RIA | Consolidated Portfolio Review Corp independent RIA | Walpole, Ma | RIA to RIA | Aug 12, 2022 |
| 2 | The Patriot Financial Group, LLC independent RIA | Ae Wealth Management, LLC independent RIA | Braintree, Ma +1 | RIA to RIA | Aug 27, 2019 over 7 d |
| 10 | The Patriot Financial Group, LLC independent RIA | LPL Financial LLC independent RIA | Walpole, Ma +1 | RIA to RIA | Jun 29, 2018 over 4 d |