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 Deutsche Bank Securities 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 | Deutsche Bank Securities Inc. mixed wealth | Cove Private Wealth, LLC independent RIA | East Rockaway, Ny +2 | RIA to RIA | Dec 18, 2023 over 1 d |
| 2 | Deutsche Bank Securities Inc. BD affiliated | Curated Wealth Partners, LLC no RAUM | Los Angeles, Ca | Affiliated broker-dealer or bank to a newly registered adviser | Sep 18, 2018 over 2 d |
| 2 | Deutsche Bank Securities Inc. other | Wells Fargo Advisors wirehouse | Washington, Dc | Other | Jul 18, 2016 |
| 4 | Deutsche Bank Securities Inc. other | Intellectus Partners, LLC no RAUM | San Francisco, Ca | Other | Jul 9, 2015 |
| 2 | Deutsche Bank Securities Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Palm Beach, Fl | Other | Apr 8, 2015 |
| 2 | Deutsche Bank Securities Inc. other | J.P. Morgan Securities LLC wirehouse | Greenwich, Ct | Other | Mar 31, 2015 |
| 4 | Deutsche Bank Securities Inc. other | Sentry Advisors, LLC no RAUM | San Francisco, Ca | Other | Feb 10, 2015 |