RIA Intelligence
Teams that left Osaic Wealth, 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 | Osaic Wealth, Inc. BD affiliated | LPL Financial LLC BD affiliated | Johnston, Ia | Affiliated broker-dealer or bank to another | Apr 16, 2020 over 1 d |
| 2 | Osaic Wealth, Inc. BD affiliated | Cetera Advisor Networks LLC BD affiliated | Lemoyne, Pa | Affiliated broker-dealer or bank to another | Apr 3, 2020 over 6 d |
| 2 | Osaic Wealth, Inc. BD affiliated | Cgc Financial Services independent RIA | Tualatin, Or | Affiliated broker-dealer or bank to independent RIA | Dec 19, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | C•• F•••••••• P•••••••• I•• state registered | King Of Prussia, Pa | Affiliated broker-dealer or bank to a state-registered adviser | Dec 11, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | King Of Prussia, Pa | Affiliated broker-dealer or bank to another | Dec 11, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• BD affiliated | Antioch, Ca | Affiliated broker-dealer or bank to another | Sep 25, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Nashville, Tn | Affiliated broker-dealer or bank to another | Sep 18, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated | Honolulu, Hi | Affiliated broker-dealer or bank to another | Jul 23, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | B•••••• F•••••• R••••••••• S•••••••• L•• unclassified | Anaheim, Ca | Other | Jul 17, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | I••••••••• F•••••••• P••••••• BD affiliated | Oklahoma City, Ok | Affiliated broker-dealer or bank to another | May 31, 2019 |
| 3 | O•••• W•••••• I••• BD affiliated | C•••••• G•••• • C• I•• BD affiliated | Wall, Nj +1 | Affiliated broker-dealer or bank to another | May 21, 2019 over 9 d |
| 2 | O•••• W•••••• I••• BD affiliated | J• W• C••• A•••••••• I••• independent RIA | New Port Richey, Fl | Affiliated broker-dealer or bank to independent RIA | Feb 7, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | I••••••••• F•••••••• G••••• L•• BD affiliated | Prescott, Az | Affiliated broker-dealer or bank to another | Jan 8, 2019 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• independent RIA | Hauppauge, Ny | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 |
| 2 | O•••• W•••••• I••• BD affiliated | O•••• F•• I••• BD affiliated | Nashville, Tn +1 | Affiliated broker-dealer or bank to another | Dec 17, 2018 |
| 2 | O•••• W•••••• I••• BD affiliated | L•• F•••••••• L•• independent RIA | Clark, Nj | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2018 |
| 2 | O•••• W•••••• I••• BD affiliated | K••••• A••••••• S•••••••• L•• other | Camp Hill, Pa | Other | Jan 25, 2018 |
| 3 | O•••• W•••••• I••• other | G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• other | Sacramento, Ca +1 | Other | Jun 20, 2017 over 1 d |
| 3 | O•••• W•••••• I••• other | C••••••• other | Sacramento, Ca | Other | Jun 20, 2017 over 1 d |
| 4 | O•••• W•••••• I••• other | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• other | Jackson, Mi | Other | Sep 21, 2016 |
| 2 | O•••• W•••••• I••• other | C•••••••• I••••••••• R••••••• A•••••••• I••• other | West Orange, Nj | Other | Aug 22, 2016 |
| 3 | O•••• W•••••• I••• other | W•••• I••••••••• A•••••••• L•• other | New Berlin, Wi +1 | Other | Mar 16, 2016 |
The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.