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 Mariner Advisor Network
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 | Mariner Advisor Network BD affiliated | LPL Financial LLC BD affiliated | Palo Alto, Ca | Affiliated broker-dealer or bank to another | Aug 21, 2026 |
| 3 | Mariner Advisor Network BD affiliated | The Wealth Consulting Group independent RIA | San Ramon, Ca | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2026 over 11 d |
| 11 | Mariner Advisor Network BD affiliated | LPL Financial LLC BD affiliated | Sacramento, Ca +6 | Affiliated broker-dealer or bank to another | Jun 26, 2026 |
| 2 | Mariner Advisor Network BD affiliated | Mariner BD affiliated | Sacramento, Ca | Affiliated broker-dealer or bank to another | May 22, 2026 |
| 2 | Mariner Advisor Network BD affiliated | LPL Financial LLC BD affiliated | Sacramento, Ca | Affiliated broker-dealer or bank to another | May 22, 2026 |
| 3 | Mariner Advisor Network BD affiliated | LPL Financial LLC BD affiliated | Corona, Ca | Affiliated broker-dealer or bank to another | Sep 3, 2025 |
| 2 | Mariner Advisor Network BD affiliated | The Wealth Consulting Group independent RIA | San Jose, Ca | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2025 |
| 3 | Mariner Advisor Network BD affiliated | LPL Financial LLC BD affiliated | Corona, Ca +2 | Affiliated broker-dealer or bank to another | Aug 6, 2025 over 1 d |
| 2 | Mariner Advisor Network BD affiliated | Osaic Wealth, Inc. BD affiliated | Corona, Ca | Affiliated broker-dealer or bank to another | Aug 6, 2025 over 1 d |
| 2 | Mariner Advisor Network BD affiliated | LPL Financial LLC BD affiliated | Santa Barbara, Ca +1 | Affiliated broker-dealer or bank to another | Oct 7, 2024 |
| 7 | Mariner Advisor Network BD affiliated | Potentia Wealth no RAUM | San Jose, Ca +1 | Affiliated broker-dealer or bank to a newly registered adviser | Apr 2, 2024 over 1 d |
| 2 | Mariner Advisor Network BD affiliated | Merit Financial Advisors independent RIA | Spokane, Wa | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2024 |
| 4 | Mariner Advisor Network independent RIA | Cadaret Grant & Co Inc BD affiliated | Los Gatos, Ca +2 | RIA to affiliated broker-dealer or bank | Jan 27, 2023 |
| 2 | Mariner Advisor Network independent RIA | Allworth Financial, L.P. independent RIA | Los Gatos, Ca | RIA to RIA | Jul 6, 2021 |
| 3 | Mariner Advisor Network independent RIA | Cimarron Wealth Management, Inc. no RAUM | Montrose, Co | RIA to a newly registered adviser | Oct 18, 2019 |
| 2 | Mariner Advisor Network independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | Walnut Creek, Ca | RIA to affiliated broker-dealer or bank | Sep 27, 2019 |
| 2 | Mariner Advisor Network independent RIA | Moneco Advisors independent RIA | Fairfield, Ct | RIA to RIA | Mar 26, 2018 |