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 First Command Advisory 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 | First Command Advisory Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Haslet, Tx +1 | Other | Dec 16, 2024 over 1 d |
| 2 | First Command Advisory Services BD affiliated | LPL Enterprise, LLC no RAUM | Flower Mound, Tx +1 | Affiliated broker-dealer or bank to a newly registered adviser | Oct 1, 2024 over 2 d |
| 3 | First Command Advisory Services BD affiliated | Navy Federal Investment Services, LLC BD affiliated | Fort Worth, Tx +1 | Affiliated broker-dealer or bank to another | Jan 31, 2024 over 21 d |
| 2 | First Command Advisory Services BD affiliated | Osaic Wealth, Inc. BD affiliated | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Nov 27, 2023 over 8 d |
| 2 | First Command Advisory Services BD affiliated | Charles Schwab & Co., Inc. national BD | Fort Worth, Tx +1 | Affiliated broker-dealer or bank to another | Oct 11, 2023 over 9 d |
| 2 | First Command Advisory Services BD affiliated | Edward Jones national BD | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Aug 31, 2023 |
| 2 | First Command Advisory Services BD affiliated | LPL Financial LLC independent RIA | Tampa, Fl | Affiliated broker-dealer or bank to independent RIA | Dec 19, 2022 |
| 2 | First Command Advisory Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Sep 6, 2022 over 2 d |
| 2 | First Command Advisory Services BD affiliated | Innovative Wealth Building LLC no RAUM | Fort Worth, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Aug 4, 2021 |
| 2 | First Command Advisory Services BD affiliated | Charles Schwab & Co., Inc. national BD | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Jun 8, 2021 |
| 3 | First Command Advisory Services BD affiliated | Kala Capital no RAUM | Fort Worth, Tx | Affiliated broker-dealer or bank to a newly registered adviser | Feb 8, 2021 |
| 3 | First Command Advisory Services BD affiliated | Teamwork Financial Advisors, LLC independent RIA | Fort Worth, Tx | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2019 |
| 2 | First Command Advisory Services BD affiliated | Edward Jones national BD | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Mar 4, 2019 over 14 d |
| 2 | First Command Advisory Services BD affiliated | Charles Schwab & Co., Inc. national BD | Fort Worth, Tx | Affiliated broker-dealer or bank to another | Nov 29, 2018 over 11 d |
| 2 | First Command Advisory Services BD affiliated | Keel & Long Financial Management, LLC state registered | Fort Worth, Tx | Affiliated broker-dealer or bank to a state-registered adviser | Mar 8, 2018 |
| 2 | First Command Advisory Services other | Davinci Financial Designs other | Fort Worth, Tx | Other | Apr 25, 2017 over 10 d |
| 2 | First Command Advisory Services other | Intrua Financial other | Fort Worth, Tx | Other | Mar 3, 2017 |
| 2 | First Command Advisory Services other | Securian Financial Services, Inc. other | Fort Worth, Tx | Other | Dec 7, 2016 |
| 2 | First Command Advisory Services other | MML Investors Services, LLC other | Fort Worth, Tx | Other | Aug 8, 2016 over 9 d |