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 Investment Professionals, 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 |
|---|---|---|---|---|---|
| 2 | Investment Professionals, Inc. BD affiliated | Osaic Institutions, Inc. BD affiliated | Downers Grove, Il | Affiliated broker-dealer or bank to another | Sep 13, 2018 |
| 3 | Investment Professionals, Inc. BD affiliated | LPL Financial LLC independent RIA | San Antonio, Tx | Affiliated broker-dealer or bank to independent RIA | Aug 3, 2018 |
| 2 | Investment Professionals, Inc. BD affiliated | LPL Financial LLC independent RIA | Danville, Ky | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2018 |
| 2 | Investment Professionals, Inc. BD affiliated | LPL Financial LLC independent RIA | Downers Grove, Il | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2018 |
| 2 | Investment Professionals, Inc. other | LPL Financial LLC other | Reston, Va | Other | Nov 3, 2017 |
| 3 | Investment Professionals, Inc. other | Titleist Asset Management, LLC no RAUM | Webster, Tx +1 | Other | Jul 25, 2017 over 1 d |
| 4 | Investment Professionals, Inc. other | S.B. Value Partners, L.P. other | Englewood, Co +1 | Other | Jul 3, 2017 |
| 2 | Investment Professionals, Inc. other | S.B. Value Partners, L.P. other | San Antonio, Tx | Other | Jul 3, 2017 |