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 Centaurus Financial, 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 | Centaurus Financial, Inc. BD affiliated | Castle Wealth Group no RAUM | Leesburg, Va | Affiliated broker-dealer or bank to a newly registered adviser | Jul 6, 2026 |
| 3 | Centaurus Financial, Inc. BD affiliated | LPL Financial LLC BD affiliated | Anaheim, Ca +1 | Affiliated broker-dealer or bank to another | Mar 9, 2026 |
| 2 | Centaurus Financial, Inc. BD affiliated | LPL Financial LLC BD affiliated | Glendale, Az | Affiliated broker-dealer or bank to another | Nov 11, 2024 over 1 d |
| 2 | Centaurus Financial, Inc. BD affiliated | Osaic Wealth, Inc. BD affiliated | Hayden, Id | Affiliated broker-dealer or bank to another | Mar 14, 2024 |
| 2 | Centaurus Financial, Inc. BD affiliated | Five Pine Wealth independent RIA | Hayden, Id | Affiliated broker-dealer or bank to independent RIA | Jan 19, 2022 |
| 2 | Centaurus Financial, Inc. BD affiliated | Thepartners Wealth Management no RAUM | Upland, Ca | Affiliated broker-dealer or bank to a newly registered adviser | Nov 12, 2021 |
| 3 | Centaurus Financial, Inc. BD affiliated | LPL Financial LLC BD affiliated | Royal Oak, Mi +1 | Affiliated broker-dealer or bank to another | Mar 12, 2021 |
| 4 | Centaurus Financial, Inc. BD affiliated | Mason & Associates, LLC no RAUM | Newport News, Va | Affiliated broker-dealer or bank to a newly registered adviser | Oct 1, 2020 |
| 3 | Centaurus Financial, Inc. BD affiliated | Alexander Capital Wealth Management LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2020 |
| 4 | Centaurus Financial, Inc. BD affiliated | LPL Financial LLC BD affiliated | Auburn Hills, Mi | Affiliated broker-dealer or bank to another | Dec 4, 2019 |
| 2 | Centaurus Financial, Inc. BD affiliated | Dst Wealth Management LLC independent RIA | Anaheim, Ca | Affiliated broker-dealer or bank to independent RIA | Nov 26, 2019 |
| 2 | Centaurus Financial, Inc. BD affiliated | Pacific Crest Planning, Inc. unclassified | Yakima, Wa | Other | Oct 31, 2019 |
| 2 | Centaurus Financial, Inc. BD affiliated | RBC Capital Markets, LLC national BD | Anaheim, Ca | Affiliated broker-dealer or bank to another | Oct 31, 2019 |
| 2 | Centaurus Financial, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Elkhorn, Ne | Affiliated broker-dealer or bank to another | Dec 10, 2018 |
| 3 | Centaurus Financial, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Leesburg, Va | Affiliated broker-dealer or bank to another | Aug 3, 2018 over 14 d |
| 2 | Centaurus Financial, Inc. other | Mcdermott Investment Advisors, LLC other | Anaheim, Ca | Other | Sep 18, 2017 |
| 2 | Centaurus Financial, Inc. other | Girard Securities, Inc. other | Santa Barbara, Ca | Other | Dec 2, 2015 |