DFX Intelligence
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.
Advisor teams
Teams that left RBC Capital Markets, LLC
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 | RBC Capital Markets, LLC national BD | Suissa Private Wealth no RAUM | Arlington, Va | Affiliated broker-dealer or bank to a newly registered adviser | Sep 4, 2026 |
| 2 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Fresno, Ca +1 | Affiliated broker-dealer or bank to another | Sep 4, 2026 |
| 2 | RBC Capital Markets, LLC national BD | Ieq Capital, LLC independent RIA | San Francisco, Ca | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 |
| 3 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Inver Grove Heights, Mn +2 | Affiliated broker-dealer or bank to another | Aug 26, 2026 over 7 d |
| 3 | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Denver, Co +1 | Affiliated broker-dealer or bank to another | Aug 21, 2026 |
| 3 | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Fall City, Wa +2 | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 |
| 3 | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Rye, Ny +2 | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 |
| 2 | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Greenwich, Ct +1 | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 |
| 4 | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | St Paul, Mn +2 | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2026 over 8 d |
| 6 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | San Diego, Ca +2 | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 |
| 3 | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Baltimore, Md +2 | Affiliated broker-dealer or bank to wirehouse | May 28, 2026 |
| 2 | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Hampton Bays, Ny | Affiliated broker-dealer or bank to wirehouse | May 21, 2026 |
| 3 | RBC Capital Markets, LLC national BD | Prairie Wealth Advisors, Inc. independent RIA | Lincoln, Ne | Affiliated broker-dealer or bank to independent RIA | May 13, 2026 over 8 d |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | May 1, 2026 |
| 4 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Broomfield, Co +3 | Affiliated broker-dealer or bank to another | Jan 30, 2026 |
| 3 | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC BD affiliated | Dallas, Tx +1 | Affiliated broker-dealer or bank to another | Oct 30, 2025 over 22 d |
| 2 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Holmdel, Nj +1 | Affiliated broker-dealer or bank to another | Sep 26, 2025 over 6 d |
| 2 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Ellington, Ct +1 | Affiliated broker-dealer or bank to another | Aug 28, 2025 over 13 d |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Rancho Palos Verdes, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Aug 22, 2025 over 14 d |
| 3 | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Huntington Beach, Ca +2 | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2025 |
| 2 | RBC Capital Markets, LLC national BD | Meadowbrook Advisors no RAUM | Florham Park, Nj +1 | Affiliated broker-dealer or bank to a newly registered adviser | Aug 8, 2025 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Lancaster, Pa +1 | Affiliated broker-dealer or bank to wirehouse | Jun 17, 2025 |
| 2 | RBC Capital Markets, LLC national BD | Citizens Securities, Inc. BD affiliated | Beverly Hills, Ca +1 | Affiliated broker-dealer or bank to another | Jun 17, 2025 |
| 3 | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Las Vegas, Nv | Affiliated broker-dealer or bank to another | Jun 11, 2025 |
| 3 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | La Mesa, Ca +1 | Affiliated broker-dealer or bank to another | Jun 11, 2025 |
| 2 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | San Diego, Ca +1 | Affiliated broker-dealer or bank to another | May 15, 2025 over 8 d |
| 3 | RBC Capital Markets, LLC national BD | Commonwealth Financial Network national BD | Webster, Ny +1 | Affiliated broker-dealer or bank to another | May 2, 2025 over 7 d |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Venice, Fl +1 | Affiliated broker-dealer or bank to wirehouse | May 2, 2025 |
| 5 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Redondo Beach, Ca +4 | Affiliated broker-dealer or bank to wirehouse | Apr 8, 2025 over 6 d |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | East Quogue, Ny +1 | Affiliated broker-dealer or bank to wirehouse | Apr 8, 2025 |
| 5 | RBC Capital Markets, LLC national BD | Citizens Securities, Inc. BD affiliated | Naples, Fl | Affiliated broker-dealer or bank to another | Jan 29, 2025 |
| 2 | RBC Capital Markets, LLC national BD | Oneascent Financial Services LLC independent RIA | Bozeman, Mt +1 | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2025 |
| 2 | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Essex Fells, Nj +1 | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2024 |
| 2 | RBC Capital Markets, LLC national BD | Apollon Wealth Management, LLC independent RIA | Austin, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 over 8 d |
| 3 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Phoenix, Az +1 | Affiliated broker-dealer or bank to another | Oct 31, 2024 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Meridian, Id +1 | Affiliated broker-dealer or bank to wirehouse | Oct 24, 2024 |
| 3 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Encinitas, Ca +1 | Affiliated broker-dealer or bank to another | Sep 13, 2024 |
| 2 | RBC Capital Markets, LLC national BD | Concurrent Investment Advisors, LLC independent RIA | Houston, Tx +1 | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2024 |
| 5 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Boise, Id +1 | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 |
| 2 | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Beverly Hills, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Jul 25, 2024 |
| 5 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Las Vegas, Nv | Affiliated broker-dealer or bank to another | May 24, 2024 |
| 2 | RBC Capital Markets, LLC national BD | Stifel, Nicolaus & Company, Incorporated national BD | Conshocken, Pa +1 | Affiliated broker-dealer or bank to another | Apr 25, 2024 over 1 d |
| 9 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Scottsdale, Az | Affiliated broker-dealer or bank to another | Apr 10, 2024 over 9 d |
| 5 | RBC Capital Markets, LLC national BD | Stratos Wealth Advisors LLC independent RIA | Reno, Nv | Affiliated broker-dealer or bank to independent RIA | Apr 10, 2024 |
| 2 | RBC Capital Markets, LLC national BD | Main Street Financial Solutions, LLC independent RIA | Atlanta, Ga | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2024 |
| 3 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Bainbridge Island, Wa +1 | Affiliated broker-dealer or bank to wirehouse | Mar 1, 2024 |
| 5 | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Kennewick, Wa | Affiliated broker-dealer or bank to another | Nov 24, 2023 |
| 5 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Greenwood Village, Co | Affiliated broker-dealer or bank to another | Nov 24, 2023 |
| 2 | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Wilmington, De | Affiliated broker-dealer or bank to wirehouse | Nov 9, 2023 |
| 2 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Boston, Ma | Affiliated broker-dealer or bank to another | Oct 25, 2023 |
| 6 | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | York, Pa | Affiliated broker-dealer or bank to another | Oct 18, 2023 |
| 3 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | San Francisco, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2023 |
| 2 | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | San Francisco, Ca +1 | Affiliated broker-dealer or bank to another | Jun 27, 2023 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Beverly Hills, Ca | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2023 over 9 d |
| 3 | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | May 25, 2023 over 6 d |
| 2 | RBC Capital Markets, LLC national BD | Wiser Advisor Group no RAUM | Phoenix, Az | Affiliated broker-dealer or bank to a newly registered adviser | May 25, 2023 |
| 2 | RBC Capital Markets, LLC national BD | Osaic Wealth, Inc. BD affiliated | Shoreview, Mn | Affiliated broker-dealer or bank to another | May 11, 2023 |
| 3 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Eugene, Or | Affiliated broker-dealer or bank to wirehouse | Mar 8, 2023 |
| 2 | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Sewickley, Pa +1 | Affiliated broker-dealer or bank to another | Mar 8, 2023 |
| 2 | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Redding, Ca +1 | Affiliated broker-dealer or bank to wirehouse | Jan 13, 2023 over 5 d |
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139 teams match.derived from registration dates