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 H. Beck, Inc.
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 |
|---|---|---|---|---|---|
| 4 | H. Beck, Inc. BD affiliated | Annex Wealth Management, LLC independent RIA | Elm Grove, Wi | Affiliated broker-dealer or bank to independent RIA | Apr 1, 2021 |
| 4 | H. Beck, Inc. BD affiliated | Valley Financial Group no RAUM | Flourtown, Pa +1 | Affiliated broker-dealer or bank to a newly registered adviser | Mar 31, 2021 |
| 3 | H. Beck, Inc. BD affiliated | LPL Financial LLC BD affiliated | Sandusky, Oh +1 | Affiliated broker-dealer or bank to another | Jun 17, 2020 |
| 3 | H. Beck, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Fairview Village, Pa | Affiliated broker-dealer or bank to another | Dec 31, 2019 |
| 5 | H. Beck, Inc. BD affiliated | LPL Financial LLC BD affiliated | Worthington, Oh +2 | Affiliated broker-dealer or bank to another | Dec 13, 2019 over 10 d |
| 3 | H. Beck, Inc. BD affiliated | LPL Financial LLC BD affiliated | Jacksonville, Fl | Affiliated broker-dealer or bank to another | Dec 13, 2019 |
| 2 | H. Beck, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Lakewood Ranch, Fl | Affiliated broker-dealer or bank to another | Sep 25, 2019 |
| 3 | H. Beck, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Canton, Oh | Affiliated broker-dealer or bank to another | Sep 24, 2019 over 1 d |
| 2 | H. Beck, Inc. other | Fsc Securities Corporation BD affiliated | Grove City, Oh | Other | Jan 31, 2018 |
| 3 | H. Beck, Inc. other | Kingswood Wealth Advisors, LLC no RAUM | Bethesda, Md | Other | Oct 17, 2017 |
| 2 | H. Beck, Inc. other | Centaurus Financial, Inc. other | Henderson, Ky | Other | Sep 22, 2017 |
| 2 | H. Beck, Inc. other | Divergent Planning no RAUM | Bethesda, Md | Other | Feb 9, 2017 |
| 2 | H. Beck, Inc. other | Questar Asset Management, Inc. other | Visalia, Ca | Other | Dec 23, 2016 |
| 2 | H. Beck, Inc. other | Signature Financial Advisors state registered | Houston, Tx | Other | Dec 9, 2016 |
| 2 | H. Beck, Inc. other | USA Financial Securities LLC other | Mechanicsburg, Pa | Other | Sep 2, 2016 |
| 2 | H. Beck, Inc. other | Securities America Advisors, Inc. other | Damascus, Md | Other | May 15, 2015 |