DFX Intelligence

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.

Advisor teams

Teams that left Barclays Capital 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
3	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New York, Ny	Other	Dec 15, 2015
3	Barclays Capital Inc. other	Morgan Stanley wirehouse	New York, Ny	Other	Dec 15, 2015 over 13 d
3	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	New York, Ny	Other	Dec 10, 2015 over 6 d
4	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	New York, Ny	Other	Nov 12, 2015 over 8 d
2	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Palm Beach, Fl	Other	Nov 12, 2015
2	Barclays Capital Inc. other	RBC Capital Markets, LLC national BD	Atlanta, Ga	Other	Oct 29, 2015
4	Barclays Capital Inc. other	Summit Trail Advisors, LLC other	New York, Ny	Other	Oct 22, 2015
4	Barclays Capital Inc. other	Raymond James & Associates, Inc. national BD	New York, Ny	Other	Oct 14, 2015
3	Barclays Capital Inc. other	Morgan Stanley wirehouse	Boston, Ma	Other	Oct 7, 2015
2	Barclays Capital Inc. other	Morgan Stanley wirehouse	New York, Ny	Other	Sep 30, 2015 over 7 d
2	Barclays Capital Inc. other	Blackrock Investment Management, LLC other	New York, Ny	Other	Sep 10, 2015
2	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	San Francisco, Ca	Other	Aug 25, 2015
3	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Chicago, Il	Other	Aug 8, 2015
3	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	San Francisco, Ca +1	Other	Aug 8, 2015
2	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Palm Beach, Fl +1	Other	Aug 8, 2015 over 11 d
2	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	New York, Ny	Other	Aug 8, 2015
2	Barclays Capital Inc. other	Summit Trail Advisors, LLC no RAUM	Chicago, Il	Other	Aug 8, 2015
4	Barclays Capital Inc. other	Morgan Stanley wirehouse	New York, Ny	Other	Jul 31, 2015
3	Barclays Capital Inc. other	Morgan Stanley wirehouse	Chicago, Il	Other	Jul 31, 2015
4	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	New York, Ny	Other	Jul 23, 2015
5	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Washington, Dc	Other	Jul 10, 2015
16	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	New York, Ny	Other	Jul 7, 2015 over 43 d
5	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Houston, Tx	Other	Jul 7, 2015
5	Barclays Capital Inc. other	Morgan Stanley wirehouse	New York, Ny	Other	Jul 7, 2015 over 9 d
4	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Philadelphia, Pa	Other	Jun 25, 2015
3	Barclays Capital Inc. other	Morgan Stanley wirehouse	Los Angeles, Ca	Other	Jun 25, 2015 over 12 d
3	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Boston, Ma	Other	Jun 25, 2015
2	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Washington, Dc	Other	Jun 25, 2015
2	Barclays Capital Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	San Francisco, Ca +1	Other	Jun 17, 2015 over 8 d
4	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	New York, Ny	Other	Jun 11, 2015 over 14 d
4	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	New York, Ny	Other	Jun 11, 2015 over 7 d
2	Barclays Capital Inc. other	J.P. Morgan Securities LLC wirehouse	Boston, Ma	Other	May 29, 2015
3	Barclays Capital Inc. other	Wells Fargo Advisors wirehouse	New York, Ny	Other	May 1, 2015
6	Barclays Capital Inc. other	Morgan Stanley wirehouse	Dallas, Tx	Other	Apr 9, 2015
3	Barclays Capital Inc. other	UBS Financial Services Inc. wirehouse	New York, Ny	Other	Mar 19, 2015
2	Barclays Capital Inc. other	J.P. Morgan Private Wealth Advisors LLC other	San Francisco, Ca	Other	Jan 30, 2015

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36 teams match.derived from registration dates