Teams that left Fidelity Personal And Workplace Advisors
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 | Fidelity Personal And Workplace Advisors BD affiliated | Td Ameritrade, Inc. no RAUM | Boston, Ma | Other | Nov 28, 2018 over 1 d |
| 3 | Fidelity Personal And Workplace Advisors BD affiliated | Charles Schwab & Co., Inc. national BD | Boston, Ma | Affiliated broker-dealer or bank to another | Nov 19, 2018 over 11 d |
| 3 | Fidelity Personal And Workplace Advisors BD affiliated | LPL Financial LLC independent RIA | Boston, Ma | Affiliated broker-dealer or bank to independent RIA | Nov 15, 2018 over 11 d |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Boston, Ma | Affiliated broker-dealer or bank to wirehouse | Oct 12, 2018 over 10 d |
| 5 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Boston, Ma | Affiliated broker-dealer or bank to another | Oct 10, 2018 over 9 d |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | A••••••••• L••• other | Boston, Ma | Other | Sep 18, 2018 over 2 d |
| 3 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | E••••• J•••• national BD | Boston, Ma | Affiliated broker-dealer or bank to another | Sep 17, 2018 over 4 d |
| 7 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Boston, Ma | Affiliated broker-dealer or bank to another | Sep 14, 2018 over 11 d |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | W•••• F•••• A••••••• wirehouse | Boston, Ma | Affiliated broker-dealer or bank to wirehouse | Sep 14, 2018 |
| 6 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | A••••• A•• P••••••• S••••••• BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Sep 10, 2018 over 11 d |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Boston, Ma | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2018 over 7 d |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | B•••••• P•••• W••••• A••••••• L•• independent RIA | Boston, Ma | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2018 |
| 3 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Boston, Ma | Affiliated broker-dealer or bank to another | Aug 7, 2018 over 17 d |
| 2 | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | E••••• J•••• national BD | Boston, Ma | Affiliated broker-dealer or bank to another | Aug 6, 2018 over 1 d |
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.