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 Bancwest Investment Services, Inc. (Bwis)
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 |
|---|---|---|---|---|---|
| 6 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | LPL Financial LLC BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Aug 24, 2023 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | First National Advisers, LLC other | Omaha, Ne | Other | Aug 24, 2023 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Omaha, Ne | Affiliated broker-dealer or bank to another | Aug 24, 2023 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Householder Group Estate & Retirement Specialists independent RIA | Oklahoma City, Ok +1 | Affiliated broker-dealer or bank to independent RIA | Jul 21, 2022 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Miami, Az +1 | Affiliated broker-dealer or bank to wirehouse | May 13, 2022 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Charles Schwab & Co., Inc. national BD | Tempe, Az | Affiliated broker-dealer or bank to another | Sep 8, 2021 |
| 3 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Burbank, Ca +2 | Affiliated broker-dealer or bank to wirehouse | Jan 22, 2020 over 22 d |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Raymond James & Associates, Inc. national BD | San Francisco, Ca | Affiliated broker-dealer or bank to another | Jul 17, 2018 |
| 2 | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Wells Fargo Advisors wirehouse | Westminster, Co +1 | Affiliated broker-dealer or bank to wirehouse | May 30, 2018 over 7 d |
| 2 | Bancwest Investment Services, Inc. (Bwis) other | Prism Financial Strategies, LLC no RAUM | Denver, Co +1 | Other | Oct 20, 2017 |
| 2 | Bancwest Investment Services, Inc. (Bwis) other | J.P. Morgan Securities LLC wirehouse | Santa Ana, Ca +1 | Other | Aug 24, 2017 over 8 d |