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 Thrivent Investment Management 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 |
|---|---|---|---|---|---|
| 2 | Thrivent Investment Management Inc. BD affiliated | Milborn Advisors, Ltd independent RIA | Waukesha, Wi +1 | Affiliated broker-dealer or bank to independent RIA | May 15, 2018 |
| 4 | Thrivent Investment Management Inc. other | Columbia River Financial Group independent RIA | Vancouver, Wa +1 | Other | Jun 5, 2017 |
| 2 | Thrivent Investment Management Inc. other | LPL Financial LLC other | San Antonio, Tx | Other | Oct 25, 2016 over 1 d |
| 2 | Thrivent Investment Management Inc. other | MML Investors Services, LLC other | Battle Creek, Mi +1 | Other | Jun 30, 2016 |
| 3 | Thrivent Investment Management Inc. other | Raymond James Financial Services Advisors, Inc other | Evanston, Il +1 | Other | Mar 24, 2016 |
| 3 | Thrivent Investment Management Inc. other | Level Four Advisory Services other | Bismark, Nd | Other | Oct 22, 2015 |
| 2 | Thrivent Investment Management Inc. other | Eagle Strategies LLC other | Monticello, Mn | Other | Mar 26, 2015 |