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 Sii Investments, 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 | Sii Investments, Inc. BD affiliated | Sterling Investment Counsel, LLC other | Appleton, Wi | Other | Feb 15, 2018 |
| 5 | Sii Investments, Inc. BD affiliated | Ta-Check Financial Ltd. state registered | Appleton, Wi | Affiliated broker-dealer or bank to a state-registered adviser | Feb 14, 2018 over 1 d |
| 4 | Sii Investments, Inc. BD affiliated | Ta-Check Financial Ltd. state registered | Parma, Oh +2 | Affiliated broker-dealer or bank to a state-registered adviser | Feb 14, 2018 |
| 2 | Sii Investments, Inc. BD affiliated | Gateway Wealth Partners, LLC no RAUM | Green Bay, Wi +1 | Affiliated broker-dealer or bank to a newly registered adviser | Feb 14, 2018 |
| 2 | Sii Investments, Inc. BD affiliated | Wealth Advisors Group, LLC no RAUM | Coralville, Ia | Affiliated broker-dealer or bank to a newly registered adviser | Jan 12, 2018 over 4 d |
| 2 | Sii Investments, Inc. BD affiliated | Kestra Advisory Services, LLC other | West Lake Hills, Tx | Other | Jan 3, 2018 |
| 3 | Sii Investments, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Waukesha, Wi +1 | Affiliated broker-dealer or bank to another | Jan 2, 2018 over 14 d |
| 15 | Sii Investments, Inc. BD affiliated | Nicolet Wealth Management other | Green Bay, Wi +5 | Other | Dec 31, 2017 |
| 3 | Sii Investments, Inc. BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Morton, Il +1 | Affiliated broker-dealer or bank to another | Dec 31, 2017 |
| 2 | Sii Investments, Inc. BD affiliated | Scarborough Capital Management other | Annapolis, Md | Other | Dec 31, 2017 |
| 3 | Sii Investments, Inc. BD affiliated | Kovack Advisors, Inc. other | Waterford, Ct +2 | Other | Dec 21, 2017 |
| 3 | Sii Investments, Inc. BD affiliated | Commonwealth Financial Network national BD | Appleton, Wi +2 | Affiliated broker-dealer or bank to another | Dec 19, 2017 over 2 d |
| 3 | Sii Investments, Inc. BD affiliated | Forty North Wealth no RAUM | Centennial, Co +1 | Affiliated broker-dealer or bank to a newly registered adviser | Dec 19, 2017 over 2 d |
| 3 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Green Bay, Wi +1 | Other | Dec 11, 2017 over 7 d |
| 3 | Sii Investments, Inc. other | LPL Financial LLC independent RIA | Jupiter, Fl | Other | Dec 8, 2017 |
| 2 | Sii Investments, Inc. other | Osaic Fa, Inc. other | Williamsville, Ny | Other | Dec 8, 2017 |
| 4 | Sii Investments, Inc. other | The Advisory Resource Group, LLC no RAUM | Tulsa, Ok +1 | Other | Dec 1, 2017 |
| 4 | Sii Investments, Inc. other | The Advisory Resource Group, LLC no RAUM | Houston, Tx | Other | Dec 1, 2017 |
| 3 | Sii Investments, Inc. other | Sagepoint Financial, Inc. BD affiliated | Wichita, Ks | Other | Dec 1, 2017 over 12 d |
| 2 | Sii Investments, Inc. other | Securities America Advisors, Inc. other | Portland, Or | Other | Nov 29, 2017 over 2 d |
| 6 | Sii Investments, Inc. other | Sagepoint Financial, Inc. BD affiliated | Westborough, Ma +1 | Other | Nov 28, 2017 over 1 d |
| 4 | Sii Investments, Inc. other | Commonwealth Financial Network national BD | Madison, Wi +3 | Other | Nov 27, 2017 |
| 3 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Waterloo, Ia +1 | Other | Nov 24, 2017 |
| 4 | Sii Investments, Inc. other | N.E.W. Advisory Services, LLC no RAUM | Hobart, Wi +3 | Other | Nov 22, 2017 over 13 d |
| 3 | Sii Investments, Inc. other | Ssn Advisory, Inc. other | Appleton, Wi +2 | Other | Nov 21, 2017 |
| 5 | Sii Investments, Inc. other | Cambridge Investment Research Advisors, Inc. other | Mt Pleasant, Mi +1 | Other | Nov 17, 2017 over 13 d |
| 5 | Sii Investments, Inc. other | Ameriprise Financial Services, LLC national BD | Albion, Ne +3 | Other | Nov 17, 2017 |
| 2 | Sii Investments, Inc. other | My Legacy Advisors, LLC no RAUM | Lake Oswego, Or +1 | Other | Nov 17, 2017 |
| 4 | Sii Investments, Inc. other | Securities America Advisors, Inc. other | Blaine, Mn +3 | Other | Nov 16, 2017 over 13 d |
| 2 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Kokomo, In | Other | Nov 15, 2017 |
| 5 | Sii Investments, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Hopkins, Mn +1 | Other | Nov 14, 2017 over 3 d |
| 9 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Pentwater, Mi +4 | Other | Nov 10, 2017 over 20 d |
| 3 | Sii Investments, Inc. other | Kms Financial Services, Inc other | Sioux Falls, Sd +1 | Other | Nov 10, 2017 over 3 d |
| 3 | Sii Investments, Inc. other | Fsc Securities Corporation BD affiliated | Washingtonville, Ny | Other | Nov 10, 2017 |
| 3 | Sii Investments, Inc. other | Ssn Advisory, Inc. other | Greenville, Wi +1 | Other | Nov 6, 2017 |
| 2 | Sii Investments, Inc. other | Kestra Advisory Services, LLC other | Albuquerque, Nm | Other | Nov 2, 2017 |
| 6 | Sii Investments, Inc. other | Cambridge Investment Research Advisors, Inc. other | Edina, Mn +1 | Other | Oct 27, 2017 over 5 d |
| 30 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. other | Depere, Wi +13 | Other | Oct 19, 2017 over 28 d |
| 5 | Sii Investments, Inc. other | Securities America Advisors, Inc. other | West Linn, Or +2 | Other | Oct 18, 2017 over 12 d |
| 2 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. other | Bascom, Oh | Other | Oct 18, 2017 |
| 4 | Sii Investments, Inc. other | Cambridge Investment Research Advisors, Inc. other | Wausau, Wi +1 | Other | Oct 16, 2017 |
| 3 | Sii Investments, Inc. other | Woodbury Financial Services, Inc. other | Hales Corners, Wi +1 | Other | Oct 2, 2017 over 1 d |
| 2 | Sii Investments, Inc. other | Cetera Investment Advisers LLC other | Brookfield, Wi | Other | Jul 5, 2017 |
| 11 | Sii Investments, Inc. other | Kestra Advisory Services, LLC other | San Diego, Ca | Other | Jul 21, 2016 |
| 2 | Sii Investments, Inc. other | First Allied Advisory Services, Inc. other | Seaside Heights, Nj +1 | Other | Jun 16, 2015 |
| 4 | Sii Investments, Inc. other | Ellenbecker Investment Group other | Pewaukee, Wi +1 | Other | Apr 1, 2015 over 14 d |
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46 teams match.derived from registration dates