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 Advice And Planning Services
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 | Advice And Planning Services BD affiliated | Private Advisor Group, LLC BD affiliated | White Plains, Ny +1 | Affiliated broker-dealer or bank to another | Nov 5, 2020 over 8 d |
| 2 | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Lincoln, Ne +1 | Affiliated broker-dealer or bank to another | Nov 5, 2020 over 8 d |
| 2 | Advice And Planning Services BD affiliated | Citizens Private Wealth independent RIA | Radnor, Pa | Affiliated broker-dealer or bank to independent RIA | Aug 12, 2020 |
| 2 | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Frisco, Tx | Affiliated broker-dealer or bank to independent RIA | Apr 24, 2020 over 3 d |
| 2 | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Glendale, Co | Other | Nov 8, 2019 over 4 d |
| 2 | Advice And Planning Services other | Independent Financial Partners other | Naples, Fl +1 | Other | Mar 10, 2018 over 9 d |
| 2 | Advice And Planning Services other | T. Rowe Price Advisory Services, Inc. independent RIA | Columbia, Md +1 | Other | Feb 8, 2018 |
| 2 | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | New York, Ny +1 | Other | Jun 11, 2015 over 11 d |
| 2 | Advice And Planning Services other | Strategic Advisers LLC national BD | Denver, Co | Other | Mar 11, 2015 |